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 Ministerial Regulation
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
) securities business license type 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
1 shall mean the investment fund in accordance with the Notification of the Office of the Securities and Exchange Commission concerning Operation related to Lending of Money for Securities Purchases
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
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
แรกขึ้นไป -> credit rating investment grade ขึ้นไป ไม่จำกัดอัตราส่วน (ข้อ 57 ประกาศ สน. 24/2552) company limit ≤ 35% (ข้อ 60 ประกาศ สน. 24/2552) (เฉพาะกรณีที่มี rating เป็นไปตามข้อ 1.3) เหมือนเดิม
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
and Procedures for Margin Lending dated 13 July 1996; (6) Clause 6(5) of the Notification of the Securities and Exchange Commission No. KorDor. 29/2540 Re: Rules, Conditions and Procedures for
only within the units or departments providing services under regulatory sandbox : (1) securities brokerage business; (2) securities dealing business; (3) investment advisory service business; (4