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Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed) 15 Application for License to Undertake Business of Private Fund Management B.E. 2543(repealed No. 6 No. 14 and amended by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
& Underwriter • Securities Borrowing & Lending • Thailand Securities Finance Corporation : TSFC Approved Personnel о Major Shareholders • SEC Act • Derivative Act о Executives • SEC Act
resembles the international supervisory framework. The audit quality control regulatory shall be performed at both individual auditor level and firm level. In order to enhance quality and reliability of the
enhance audit quality of financial statements of entities under the SEC oversight to ensure confidence on financial reporting disclosed to the public. The SEC requires the auditor in the capital market to
information to the investors, representing the financial position and operating performance of the entities in the capital market, and is one of the most crucial factors to enhance investor confidence in the
IFF is allowed for a borrowing ≤ 3 times of the equity and the debt shall be a non-recourse type of debt. Fund unit holding An individual or a group of associated persons shall not hold more than one