_________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an agreement on the appointment of representative in writing. Clause
Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the
หลักทรัพย์ กับผู้ยืมหลักทรัพย์ 2. จำนวน ให้แสดงจำนวนรายของคู่สัญญา ดังนี้ 2.1 Principal หมายถึง บริษัทกระทำในฐานะตัวการที่ให้ยืมหลักทรัพย์ โดยให้แสดงจำนวนรายของผู้ยืมหลักทรัพย์ (borrower) 2.2 Agent หมาย
has been lately submitted and effective: ( Form 69 – CIS full (effective date on _____________________ ) ( Form 69 – CIS annually update (effective date on _____________________ ) ( Form 69 – CIS
Regulations on Securities Borrowing and Lending _________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an
have been known, but not exceeding 2 years from the effective date of registration statement. Please choose the following form that has been lately submitted and effective: ( Form 69 – CIS full
License to Provide Services as Securities Registrar (No. 6) dated 24 April 2017 (effective on 16 May 2017). ( Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 32/2546 Re
.” Clause 2. The derivatives advisor who provided services for customers prior to the effective date of this notification shall arrange to have an agreement in writing relating to the settlement of disputes