e-service Online Submission See canceled document Securities Brokerage Business >> Securities Lending / Credit Balance (Section 102) Type Title Section See Document Status Notified Date Effective
of last year in the amount of Baht 3.99 million, due to income from earned premium net of reinsurance and commission and brokerage income in this quarter decrease from the same period of last year in
business under the first paragraph does not include the lending of money for purchasing, selling or exchanging securities in the course of securities brokerage or securities dealing business or the purchase
Brokerage Investor Mutual Fund Investor Debenture Investor Digital Asset Investor Investor Dataset UseCase EN TH Home > Debt Debenture Figure of Debenture Outstanding Value (Million Baht) 5,693,552.41 As of
& Professional Brokerage Investor Mutual Fund Investor Debenture Investor Digital Asset Investor Investor Dataset UseCase EN TH Home > Intermediaries > Professional Intermediaries and Professionals Figure of
probation) ? allowing an investor contact to use his client?s account for securities trading of another client who had reached the full credit line and breaching his brokerage company?s rules of employees
give a warning. Consequently, the SEC agreed with the committee resolution and issued warning letters to both the securities analyst and the brokerage house. The SCIB-C1 case concerns Ms. Pongrat
on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s
investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
the regulations on sale promotion advertisement, engagement of introducing broker agent, and disclosure of brokerage transaction activities, which will come into force starting from 1 January 2022