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 No. 9 (B.E. 2540) issued under the
Commission No. KorDor 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
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
securities business. This does not include financial institutions licensed to undertake securities borrowing and lending business which offer custody for clients’ assets related to securities borrowing and
brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under
, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under specific laws or
D (ง); (5) securities business license in the category of investment advisory service; (6) securities business license in the category of securities borrowing and lending. Clause 2. This notification
System of the Stock Exchange of Thailand; (7) change of securities holding resulted from execution of a securities borrowing and lending transaction with a licensed securities business operator in the
) securities underwriting; (4) investment advisory service; (5) mutual fund management; (6) private fund management; (7) securities borrowing and lending; (8) venture capital management. ““Type B securities