Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
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
the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
.: (a) Various securities activities or related activities such as derivatives market, securities borrowing and lending; (b) New types of securities or related financial instruments such as derivatives
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
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions
) 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
price, the management company shall proceed as follows: (a) In case of sale of investment units, the management company shall reduce the number of investment units of the relevant purchasers by the amount