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
Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed) 15 Application for License to Undertake Business of Private Fund Management B.E. 2543(repealed No. 6 No. 14 and amended by
- Dealer Brokerage as Securities Business (IDB) ○ Prescription of Securities Borrowing and Lending Business as Securities Business (SBL) ○ Prescription of Securities Finance Business as Securities
requires that the auditor of the entities in the capital market be approved by the SEC so that the SEC will be capable of regular monitoring the quality of audit work performed by such auditor, which
invested securities on a regular schedule. Such incidents are beyond the control of the mutual fund management company and the mutual fund supervisor is informed and acknowledged about the situation. (5) The
& Underwriter • Securities Borrowing & Lending • Thailand Securities Finance Corporation : TSFC Approved Personnel о Major Shareholders • SEC Act • Derivative Act о Executives • SEC Act
business, employee, staff, advisor earning regular monthly salary, controlling person during the period of two preceding years. Relaxation of this requirement is in the case where the person is retired as a
-sharing or leasehold contracts: suitable for public, non-transferable assets/ concession assets; investment through affiliates of an IFF*. * including lending to subsidiaries. Types of