29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation
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
purchased to order; (f) receivables of margin loan and receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the SEC Office. (4
following cases: (1) those persons appointed by an intermediary in the following categories: (a) securities finance; (b) venture capital management; (c) securities borrowing and lending; (d) inter-dealer
for prepayment before the maturity date, only in the portion of liabilities not exceeding the value of collateral; (3) total sum of the following liabilities: (a) securities borrowing payables, only in
Regulations on Securities Borrowing and Lending _________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an
subsequently to operate securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to
: (a) securities borrowing payables, only in the portion not exceeding value of the collateral ; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
creditor of trading of securities by cash client, encumbrance for deliver the securities result in short selling or securities borrowing and encumbrance for return asset which the company hold as a