repurchase transaction becomes less than the purchase price x (1 + initial margin); (f) not reselling or transferring the securities received from repurchase transaction except for reselling or transferring

company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a

with the intention to resell or seek benefits from the price changes or price differences [short-term speculation]. The provision in Paragraph 1 shall not apply to a securities intermediary in the

value of securities received from repurchase transaction becomes less than the purchase price x (1 + initial margin); 6.6 not reselling or transferring the securities received from repurchase transaction

for other matter, while having an obligation to resale such financial asset in the future in an amount equivalent to the cash or such other matter given plus interest or other similar matter in return

Capital Clause 4 The liquid assets which may be used for maintenance of the capital are the following assets which are free of encumbrance and are not short-term investments with the intention of resale or

, or giving false information to the counterparty . Clause 12/1 In the case where a securities company buys securities from an issuer to resell to a client , the securities company shall distribute

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

สัญญาใช้เงินที่ออกโดยสถาบันการเงิน ที่มีอายุคงเหลือเกินกว่า 3 เดือน และเงินฝากที่มีภาระผูกพัน เป็นต้น 3. หลักทรัพย์ซื้อโดยมีสัญญาขายคืน (Securities purchased under resale agreements) หมายถึง การให้กู้ยืม

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...