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14 Dec 2016
Update : 14 Dec 2016 0 :0

KTZMICO Online: New Regulation about securities transfer by ASCO


Dear clients;

According to the new regulation of the Association of Thai Securities Company (ASCO) about the condition of securities transfer, securities withdrawal, the issuing of securities certificate, and securities depository which will be activated since January 1st, 2017 onward.


Purpose of the new regulation

  1. Broker Company must have appropriately internal audit to prevent the clients’ asset.  
  2. To prevent fraud or taking benefit from clients’ securities
  3. To prevent the benefit from securities transfer, securities withdrawal and securities depository as the nominee for buying the securities

 
The scripless securities transfer will be accepted as the following cases;

  1. Transfer to the client’s name or Lawfully wedded wife or a legitimate child
  2. Transfer with an aim of Securities Borrowing and Lending (SBL)
  3. Transfer as pledged in the Margin Account
  4. Transfer as the court’s injunction such as inherit or sell in the market
  5. Transfer for Tender Offer processing
  6. Other transfer purposes as permission by ASCO, Securities and Exchange Commission (SEC), and/or Stock Exchange of Thailand (SET)

 
For further information, please contact your designated marketing offer or KTZMICO Online (66) 2 695 5559 or e-mail onlinebroking@ktzmico.com.

Best Regards,
KTZMICO Securities Co., Ltd.

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