short sale to such client until all the outstanding debt is paid. Clause 10 If the securities company is unable to proceed for the lending of money for purchasing securities to any existing client to
cent. Therefore, the highest transaction size does not exceed 15 per cent pursuant to such notifications. The Company, therefore, is not required to proceed in accordance with such notifications
characteristics prescribed by Notification of the Office. Clause 4. In a short sale of securities pursuant to the customer’s order which is not an institutional customer, the securities company shall proceed as
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
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
) “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
Office in advance in writing. If the Office has no objection in writing within fifteen days from the date of receiving such notification, the custodian may proceed with changes of such operation system. In
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of