and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

application for a license and the granting of a license to provide services as a securities registrar, which is subject to other specific rules governing such matter as prescribed by other Notifications. Clause

period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing

Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity

agricultural futures business, with price settlement and contract delivery obligations; (2) fifty million baht for undertaking of agricultural futures business with price settlement and contract delivery

for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include

client and the execution of transaction for client to prevent the use of fund management business as a vehicle for money laundering provided that the policy on such matter should be in accordance with the

of accounting policy (paragraph........); ( 3.1.3 inappropriate/insufficient disclosure of information (paragraph........); and having additional paragraph explains the matter of: ( 3.2 Inability to

of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a