million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the derivatives broker shall maintain the net capital at
) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find breaches of the laws, code of ethics and professional
); (c) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find breaches of the laws, code of ethics and
units to perform their duties under (a); (c) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find
A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin
require its clients to deposit a margin within the specified period as follows: (1) For initial margin: (a) in case of institutional clients or market makers, the margin shall be deposited at least one hour
equals to 1,214,621,392 baht which is the last financial statement. The details are as follow; • Real price case 146,000,000 x 100 = 12.02% 1,214,621,392 • Book value case 83,214,615.93 x 100 = 6.85
receipt (DR). Convertible Securities: warrant or convertible debenture or other securitiesconvertible to stock. In case of group report, disclose the changes in the holding of individuals, thegroup