_________________________ 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
for the securities business account receivable and accrued interests which unexpected to collect within the accounting period In the case of debtor occurring from the corruption of employee and a debtor
Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the
effective; (7) having systems and measures for preventing conflict of interests at least in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for
หลักทรัพย์ กับผู้ยืมหลักทรัพย์ 2. จำนวน ให้แสดงจำนวนรายของคู่สัญญา ดังนี้ 2.1 Principal หมายถึง บริษัทกระทำในฐานะตัวการที่ให้ยืมหลักทรัพย์ โดยให้แสดงจำนวนรายของผู้ยืมหลักทรัพย์ (borrower) 2.2 Agent หมาย
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
has been lately submitted and effective: ( Form 69 – CIS full (effective date on _____________________ ) ( Form 69 – CIS annually update (effective date on _____________________ ) ( Form 69 – CIS
) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and effective; (7) having systems and measures for preventing conflict of interests at least