maintain the minimum net capital of B15 million (or at least B25 million if holding derivatives agent license). In addition, securities companies must maintain the minimum net liquid capital of at least 7
;security agent เก็บรักษาไว้ได้หรือไม่ และหากบริษัทจัดการกองทุนรวมไม่สามารถดำเนินการเช่นนั้นผู้ดูแลผลประโยชน์ของกองทุนรวมจะมีความผิดฐานใดหรือไม่ คำตอบ:
measures for prevention of conflicts of interest. Clause 4 . The management company shall submit to the Office the following information relating to its property fund managers in the forms and procedures
managers in the forms and procedures provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the
derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if such persons have breached or failed to comply with the regulations prescribed
) a juristic person over which such person has the management control as an agent of the juristic person; (18) “Stock Exchange” means the Stock Exchange of Thailand; (19)1 “listed company” means a
7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the
selecting custody agent to ensure that such custody agent has operational systems relating to asset custody, as specified by the https://publish.sec.or.th/nrs/1927se.pdf act-sea1999-no2.pdf capital of at