exceeds the due amount and the securities company has already returned the excess money to the client within five working days from the date of receipt of such money; (c) money received from securities sale

demonstrate that such investment is for the benefit of all unitholders of the mutual fund. (2) investment in the units of a domestic money market fund shall be for the benefit of managing liquidity of the

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

using subscription money in excess of the total amount expected to obtain from the offering for any other business before returning money to unallocated subscribers completely; (3) report securities

period ends; (b) prohibition of using subscription money in excess of the total amount expected to obtain from the offering for any other business before returning money to unallocated subscribers

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

company under (e) or an agreement in the nature of money lending to the company under (e), provided that a fund has already become the shareholder of such company. (4)4 “ infrastructure business ” means the

lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment

Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism _____________                 By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange

ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์