provide a sufficient security system to prevent unauthorized persons from accessing or amending information relating to its business operation. Clause 12 A securities company shall provide evidence on
. 2561 (2018) The Ministry of Commerce issued Ministerial Regulation Concerning Use of Additional Types of Assets as Business Collateral B.E. 2561 (2018), in accordance with the Business Security Act B.E
, the business operator, whether it is acting as the borrower or its agent or the lender or its agent, shall: (1) conduct counterparty risk analysis and arrange for collateral to be provided by the
acting as the borrower or its agent or the lender or its agent, shall: (1) conduct counterparty risk analysis and arrange for collateral to be provided by the borrower in accordance with the rule under
lending of securities, the business operator, whether it is acting as the borrower or its agent or the lender or its agent, shall: (1) conduct counterparty risk analysis and arrange for collateral to be
, some brokers issue margin loans at a high proportion compared to their financial position, while many other brokers concentrate their margin loans in a limited number of clients and collateral
management, conducted by an SEC-approved auditor working for one of the big four audit firms. The suspicious grounds for such audit are: (1) the placement of THL assets as collateral for stay of legal
investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically
repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position