The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more appropriate and flexible but will mostly be based on the same principle. The revision will cover various systems for example, operating systems relating to organizational structure and personnel readiness, customer service and information system, internal control system, and risk management system. In add...
integration will also offer a one-stop trading venue for investors, and thus enhance our futures market's competitive edge in the international arena. In this regard, the SEC has collaborated with relevant
integration will also offer a one-stop trading venue for investors, and thus enhance our futures market?s competitive edge in the international arena. In this regard, the SEC has collaborated with relevant
บุคคลประเภทเดียว โดยสามารถลงทุนในทรัพย์สินทางการเงินและทำธุรกรรมทางการเงินได้ทุกประเภทตามที่ตกลงกับลูกค้า และให้สามารถกู้ยืมเงินจากบริษัทหลักทรัพย์เพื่อซื้อหลักทรัพย์ (margin loan) ในนามของลูกค้าได้ โดย
private funds, resulting in one all inclusive type which would be allowed to invest in any financial assets and transactions according to the agreements with the clients, and (3) permission for margin loans
2012 issued regulations on the offering of ASEAN CIS to non-retail investors. This new regulation will be a codified set of new and existing regulations to accommodate both offerings to retail and non
Q1/2012 operational result with 67.14 million baht net profit. Later, during August 8 ? September 13, 2012, he purchased CMO shares through another person?s trading account based on the information
seek personal gain from the margin of such offering and trading transactions. However, the clients who had paid for their orders did not receive the purchased shares or such shares did not exist in the
party transaction.JMT?s Board of Directors and the Audit Committee view that such waiver of the subscription right is appropriate as it would allow JMT to focus its existing capital on the management of