. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. 19 Clause 10/1. In applying for license, if the

borrowing and lending services to customers. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. 19Clause 10/1. In

” means derivatives exchange licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) “customer contact person for

licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) 1 “customer contact person for derivatives agent” means the

licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6)1 “customer contact person for derivatives agent” means the

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

areas such as customer-asset custody and Know Your Customer (KYC) / Customer Due Diligence (CDD) criteria, etc. These efforts will keep an appropriate balance between development and supervision in the

Board regarding Rules, Conditions and Procedures for https://publish.sec.or.th/nrs/6797pe.doc .. loss in derivatives position and the balance amount of the margin of customer marked to market; (4) The

customer marked to market; (4) The amount and type of property to be deposited following a margin call by the derivatives broker to a https://publish.sec.or.th/nrs/4642pe.doc Translation appointment of a

applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your