operators are unable to maintain net capital (b) business operators default on the clearing and settlement of securities with the clearing house or their clients in case of securities companies, or
against EARTH for an unreasonably high amount of indebtedness, in order that EARTH’s indebtedness would be greater than its assets, despite the fact that they opined or were in a position to know that
Custody of Clients’ Assets by Securities Companies (No. 4)
Custody of Clients’ Assets by Securities Companies (Codified)
Custody of Assets of Clients by Securities Companies
Custody of Assets of Clients by Securities Companies (No. 3)
Securities/Assets 2365534289 2025-01-09 2024 1 หน่วยลงทุน Unit Trust หลักทรัพย์/ทรัพย์สิน Securities/Assets 2.6641E+11 2025-01-09 2024 3 ตั๋วเงินคลัง/พันธบัตร Treasury Bill/Government Bond หลักทรัพย์/ทรัพย์สิน
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and Section 98(3) of the