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

delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing and lending (SBL); “Central securities

Notification: “Short 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

of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of

) Flow 1 : การขออนุมัติ/จัดสรรวงเงินจากส านักงาน ก.ล.ต. (“ส านักงาน”) ส านักงานพิจารณาค าขอและอนญุาตการเสนอขาย ASEAN CIS ในประเทศไทย การควบคุมวงเงิน วงเงินใกล้เต็ม CIS Operator ประสงค ์ จะเสนอขายหน่วยในไทย

revisions are as below:            (1) The business operator can temporarily use subordinated liabilities in excess of the shareholders’ equity portion without counting it as total liabilities in calculating

business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so

Asset Businesses B.E. 2561 (2018):   Section 35. If it appears that the financial condition or operations of a digital asset business operator is in such condition which may cause damage to the public

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such