repayment for the benefit of other persons or itself. Clause 21 Subject to Clause 18(1) (a), a securities company shall not take money segregated as clients’ assets to deposit or make investment with a
take client’s money segregated as client’s assets to deposit with or invest in financial institution having a relationship as a parent company, subsidiary or affiliate company, unless the consent is made
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
” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the
or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance
underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter
for Permission and Granting Permission to Management Companies to Establish a Branch Office, dated 22 May 2007, the Office shall take into account the following matters: (1) shareholders’ equity of the