underwriting, which is not limited to debt securities; (2) a securities company in the category of securities financing; (3) a securities company in the category of securities borrowing and lending; (4) a
) securities underwriting business; (5) mutual fund management business; (6) private fund management business; (7) securities borrowing and lending business. Clause 4 In the case where a person having the
business; (5) mutual fund management business; 2 (6) private fund management business; (7) securities borrowing and lending business. Clause 4 In the case where a person having the following qualifications
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Securities Borrowing and Lending >> แบบรายงาน (มาตรา 109) ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศสำนักงานคณะ
securities business in the category of the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person
the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person who provide back office service
receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the Office of the Securities and Exchange Commission. (5) “ general liabilities
receivables of securities borrowing; (g) receivables of pledging account; 3 As amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 13/2559 Re: Maintenance of Financial Position