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

, and the balance at the end of the first quarter of the fiscal year 2017 accounted for 45 percent of the total assets and is thus considered EARTH's core assets. Accurate and complete information on such

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

transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for decentralized approval authority, multi-sign approval authority, and check and balance, in the

balance between supervision on securities offering and investor protection.SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved relaxation of

check and balance mechanism of the business operators. Accordingly, the business operators including those doing business in form of financial conglomerate are required the independent directors at least

เช่นเดียวกันสำหรับผู้ลงทุนทุกประเภท นอกจากนี้ จะพิจารณาทบทวนมาตรการให้ลูกค้าซื้อหลักทรัพย์ด้วยบัญชีแคชบาลานซ์ (cash balance) กรณีมีการซื้อขายหลักทรัพย์ผิดไปจากสภาพปกติของตลาด เพื่อให้มั่นใจได้ว่าเกณฑ์

measures relating the purchase of securities through cash balance account in case of abnormality in the trading of securities to ensure that such rules or measures are appropriate for the current market

;: 02/12/2554 คำถาม : ลูกหนี้การกู้ยืมเงินเพื่อซื้อหลักทรัพย์(credit balance)ของบริษัทหลักทรัพย์ เสนอว่าจะขายห้องชุดที่ติดภาระจำนองกับธนาคารพาณิชย์ให้ โดย

stakeholder consultation before issuing or amending regulations and guidelines. This is to make sure that all comments and suggestions will be taken into account as the SEC maintains the balance between