borrowing and lending business" shall be prescribed as securities business under (7) of the definition of "securities business" in Section 4 of the Securities and Exchange Act B.E. 2535. Clause 2 Undertaking
Company to Undertake Securities Finance Business B.E. 2539 (Repealed) 9 Application for License to Undertake Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed) 15
○ Prescription of Venture Capital Management Business as Securities Business (VC) ○ Prescription of Inter - Dealer Brokerage as Securities Business (IDB) ○ Prescription of Securities Borrowing and Lending
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement conveying the client's consent to assign the private fund management company to arrange such matter
database of directors and executives of the securities issuing companies. 4. Not being in default on principal or interests of any debt securities or in default on a loan payment. 5. Not being in breach of
Securities Investment Advisors о Derivatives Advisors • Securities Underwriter • Limited BDU • Bond Dealer & Underwriter • Securities Borrowing & Lending • Thailand Securities
the prescribed form. 7. Not being in default om principal or interests of any debt securities or in default on a loan payment. 8. Within two years prior to the filing of the application for an approval
Report on Margin Loan to Clients (Form Bor.Lor. 5/1) (Notification No. SorThor. 55/2546) To be filed within seven days of the following month. Monthly Statement of Clients' Assets (Form Bor.Lor. 8
misled investors in a manner of concealing or disguise or making up non-existing facts. 9. Not being in default om principal or interests of any debt securities or in default on a loan payment. 10. Not