securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
because the Company did not have a support from the financial institution by the agreed period. Therefore, the Company proceeded to cancel the Shares Purchase Agreement that related to The Acquisition with
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
the specified period under Clause 10, liquidator shall apply for a waiver for liquidation periods of property fund for solving financial institution problems, mutual fund for solving financial
of exchange issued, accepted or avaled by or drawn on financial institution will no longer be exempted but will be defined and regulated as securities under the Securities and Exchange Act B.E. 2535
in lending rates in line with the Thai policy rate during this quarter. Nonetheless, net interest margin (NIM) edged up slightly. Net fees and service income also rose over-year, due to a low- base
derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “financial institution” means a financial institution under the Interest on Loan of