Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the SEC Office hereby issues this Notification, as follows
) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule
) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives
sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) sasipim Typewriter (ไม่เปิดเผย) 6. 1 - 39/2553 23 2553 8 1. 2. (Governance and Leadership) 3. (Relevant Ethical Requirements) 4
of Thailand’s minimum capital requirements and satisfy capital buffer requirement as per the guidelines on D-SIBs. Operating Income and Expenses of the Bank and its Subsidiaries Million Baht Item
Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the
e-service Online Submission See canceled document Securities Brokerage Business >> Books & Records Requirements Type Title Section See Document Status Notified Date Effective Date 1. Notification of