Exchange Commission Sor Thor. 13/2561 Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital 17/01/2018 01/04/2018
account costs and benefits of the proposed revisions and necessity to maintain fairness in the capital market.The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are
securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than 15 million baht and [net
securities company shall maintain its net capital not less than 15 million baht and [net capital ratio] not less than 7% of general liabilities at the end of any business day. In case of the securities company
investment trust or other securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than
consecutive days. In addition, digital asset business operators are required to maintain net capital in accordance with the specified conditions to handle potential risks and liabilities from duty performance
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
According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any