) securities underwriting business; (5) mutual fund management business; (6) private fund management business; (7) securities borrowing and lending business. Clause 4 In the case where a person having the

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

Total Income 2. Expenses 2.1 Expenses on Borrowing 2.2 Fee and Service Expenses 2.3 Bad debt and doubtful accounts 2.4 Shares of loss of subsidiaries and affiliated 2.5 Operating expenses 2.5.1 Personnel

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

) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services

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

is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the

prevention of conflicts of interest between the management company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund ’s assets; (8) the liquidation of a fund . In the case

securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on