capital refer to those whose net capital fall below the minimum requirements. The requirements of net capital maintenance are: (1) Net Capital (NC) with liquid assets, after deducting total liabilities and
executive in a securities issuing company or a securities company, as summarized below: (1) Atthavut shall pay a civil penalty, a compensation at an equal amount to the benefit received or
securities company, as summarized below: (1) Atthavut shall pay a civil penalty, a compensation at an equal amount to the benefit received or should have been received, and a reimbursement of the
expenses incurred by the SEC. Additionally, they are each barred from serving as director or executive in securities issuing companies or securities companies, as summarized below: (1) Mr
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
increasing shall be calculated in the shareholder’s equity of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records
worth investors or big retail investors shall be approved by the SEC Office if the following criteria are met: (1) having the CIS operator who meets the following conditions: (a) being under supervision
: Asset Item 1: Land comprising 23 title deeds located on Soi Ladprao 126, Ladprao Road, PlabplaSubdistrict, Wangthonglang District, Bangkok 10310 with aggregate area of 11-00-1 Rai and being rented to