Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public

>วันที่ถาม : 23/02/2559 วันที่ตอบ : 07/03/2559 คำถาม : บลจ. ก สอบถามประเด็น securities lending ของกองทุนรวมว่า

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

Rules, Conditions and Procedures for Securities Borrowing and Lending

Beyond Securities Public Company Limited Between December 22, 2017 and May 16, 2022 Beyond Securities Public Company Limited ("Beyond"), a securities company, failed to comply with the

providing service, internal control system and risk management system for the securities borrowing and lending business, which exhibits that the business operator is ready and capable to comply with the rules

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