securities borrowing and lending fee etc.. 1.3 Gain (loss) on Securities trading means gain or loss on securities trading. In the case where it has a securities trading expenses or gain or loss from securities
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
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
Securities Borrowing and Lending dated 31 July 1997, as amended by the Notification of the Securities and Exchange Commission No. KorThor. 27/2549 Re: Rules, Conditions and Procedures for Securities Borrowing
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
Regulations on Securities Borrowing and Lending _________________________ Clause 18 In cases where an intermediary is a representative of a securities borrower or lender, the intermediary shall prepare an
, provide information or prepare clarification under subclause (1), or provides false or materially misleading information. Division 4 Specific Regulations on Securities Borrowing and Lending
, including undertake the securities lending for completion of securities sales under the rules prescribed by Notification of the Office. Clause 5. Prior to undertaking a short sale of securities for itself, a
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office