” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and
Use of Securities Business for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543
baht, but finally nobody offered the price by bidding. Then, there was 1 person who offered the price but under the minimum price. However, the Company needed the money using for the internal operation
the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the movement of money and assets of the fund, and approve money and asset transferring for
person of the company. Such authorized person must not be either a staff who prepares client’s assets account or a staff who keeps the client’s assets. Clause 6. A securities company must issue rules or
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
) “margin account” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “cash account” means an account
, but finally nobody offered the price by bidding. Then, there was 1 person who offered the price but under the minimum price. However, the Company needed the money using for the internal operation and