Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the
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 No. 9 (B.E. 2540) issued under the
Commission No. KorDor 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
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
from data analytics, enabled banks to target, attract and engage customers using more sophisticated techniques. Banks cooperated with potential partners across industries to gain new opportunities and
กรณีท่ีเป็น การเสนอขายหลกัทรัพยต่์อผูล้งทุนในกลุ่มแรก (sophisticated investor) ซ่ึงไดรั้บการสันนิษฐานวา่เป็น ผูล้งทุนท่ีมีความรู้ความเขา้ใจในเร่ืองความเส่ียงท่ีเกิดจากการลงทุน กฎเกณฑท่ี์ก ากบัดูแลจึงผอ่น
responsibilities of ownership are appropriately and fully delivered in their interests and on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional
at the top of the mutual fund business. KASIKORN LEASING CO., LTD. saw satisfactory lending business volume in line with the overall domestic automotive industry while also maintaining healthy asset
สินทรัพย์ดิจิทัลที่มีการจ่าย ผลตอบแทนแก่ผู้ฝากและการให้กู้ยืม (deposit taking & lending) ตามที่สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (“สำนักงาน ก.ล.ต.”) ได้ออกประกาศคณะกรรมการกำกับหลักทรัพย์และ
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