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
Securities Borrowing and Lending Business B.E. 2543 (amended by No. 21) (Repealed) 15 Application for License to Undertake Business of Private Fund Management B.E. 2543(repealed No. 6 No. 14 and amended by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
. The SEC will make an appointment for an on-site inspection of the work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website
original scheme; 4.2 The unitholders received the investment capital and the returns upon expiration of the closed-end fund as specified in the original scheme; 4.3 The fund was converted to an open-end
& Underwriter • Securities Borrowing & Lending • Thailand Securities Finance Corporation : TSFC Approved Personnel о Major Shareholders • SEC Act • Derivative Act о Executives • SEC Act
guarantee. (2) Where the arrangement with a new guarantor will cause fees to increase by more than 25% of the original rate for the latest guarantee period, the mutual fund management company can make such an