: Clause 1. The person granted a license to undertake derivatives business in the category of derivative broker shall have paid-up registered capital of not less than one hundred million baht. The person
under Clause 4 (3) shall maintain the qualifications specified in Clause 6(1) (3) (4) (5) and (6). In case where registered derivatives business operator shall not maintain its qualifications under
operator shall not maintain its qualifications under Paragraph 1, such registered derivatives business operator shall notify its qualification that cannot maintain together with related fact to the SEC
derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of
Registered Registered THB 5,000,000 Ordinary share 50,000 shares Par value per share THB 100 3.4 Shareholder’s structure Name of Shareholder Amount of share (shares) Portion of shares (%) Registered Capital
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
Exchange Commission No. Kor Thor. 25/2560 Re: Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee By virtue of Section 14 of the Securities and Exchange Act B.E