lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to deliver securities
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
ถึง บริษัทกระทำในฐานะตัวแทนของผู้ให้ยืมหลักทรัพย์ โดยให้แสดงจำนวนรายของผู้ให้ยืมหลักทรัพย์ที่แต่งตั้งบริษัทเป็นตัวแทนในการให้ยืมหลักทรัพย์ (end-lender) ทั้งนี้ ไม่รวมถึงในกรณีที่ผู้ให้ยืมหลักทรัพย์มิได้
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
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
notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender
_________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an agreement on the appointment of representative in writing. Clause
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to