and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
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
compliance with the internal control . 5.4 The board of directors and executives do not put excessive pressures on each personnel duties. Risk Assessment 6. The organization specifies the objectives with
และกำหนดห้ามผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลให้บริการหรือสนับสนุนการให้บริการ deposit taking & lending และในการประชุมครั้งที่ 16/2565 เมื่อวันที่ 1 ธันวาคม 2565 และครั้งที่ 9/2566 เมื่อวันที่ 11 พฤษภาคม
Name Website TSFC TSFC SECURITIES PUBLIC CO.,LTD. http://www.tsfc.co.th List of company licensed Securities Borrowing and Lending (Principal Only) (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company
Name Website TSFC TSFC SECURITIES PUBLIC CO.,LTD. http://www.tsfc.co.th List of company licensed Securities Borrowing and Lending (Principal Only) (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company
criteria are relatively more relaxed, and the expenses do not cause excessive burdens on the issuers. Companies capable of complying with the regulations may choose to be listed and traded on BdL or
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
time period as set out by the SEC Office. While the amendments eliminate excessive requirements and facilitate auditors in the capital market, audit quality will not be compromised as the SEC still
(Synopsis) 05/11/1997 2. Notification of the Office of the Securities and Exchange Commission SorThor 42/2540 Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to