welcome to send comments or suggestions to www.sec.or.th or e-mail: insec@sec.or.th. The public hearing ends on 23 March 2020.  __________________________* Excluding the opening of trading accounts

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 the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to increase purchasing power. SEC therefore proposes the inclusion of additional securities classes for...

Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch,  for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E

yea eriod of 201 s come from deb nd others rom collection accounts recei ome and relate ues Analysis, Q3/2 c Company Limi gement Disc ent tock Exchan twork Servi he financial hird quarter ditor, the re

from the se n increasin accounts re ion Baht, w d net profit m r revenues group can s ome from deb d others om collection ccounts rece me and relate ues ces Analysis, Q2/2 gement Disc ent Exchange o

apparently inconsistent with the client's financial records and no clear justification is given by the client concerning the source of fund; (6) transactions that are not economically viable e.g. client

amount in terms of size/volume is transacted, which is apparently inconsistent with the client's financial records and no clear justification is given by the client concerning the source of fund; (6

; (Unofficial Translation) - 8 - (5) significant amount in terms of size/volume is transacted, which is apparently inconsistent with the client's financial records and no clear justification is given by the

doubtful account for this period amount of 769.13 million Baht, There are the trade accounts receivable and other accounts receivable total 4 accounts, which the trade accounts receivable and other accounts

Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform