-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
borrowing and lending business" shall be prescribed as securities business under (7) of the definition of "securities business" in Section 4 of the Securities and Exchange Act B.E. 2535. Clause 2 Undertaking
must not exceed the maximum limits specified in the scheme and the prospectus of the offer for sale of the investment units. (1) For advertisement expenses that a mutual fund management company may
Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed) 15 Application for License to Undertake Business of Private Fund Management B.E. 2543(repealed No. 6 No. 14 and amended by
- Dealer Brokerage as Securities Business (IDB) ○ Prescription of Securities Borrowing and Lending Business as Securities Business (SBL) ○ Prescription of Securities Finance Business as Securities
Dealing of Debt Securities Securities Borrowing & Lending Securities Financing Derivatives Broker Limited to Agriculture Product Derivatives List of Securities Businesses
& Underwriter • Securities Borrowing & Lending • Thailand Securities Finance Corporation : TSFC Approved Personnel о Major Shareholders • SEC Act • Derivative Act о Executives • SEC Act
actions: 1. Suspend a filing of a new application for normal or automatic approval for a maximum period of not over one year; 2. Prohibit the mutual fund management company from the initial public