) reduction of paid up capital of the REIT; (5) issues concerning unitholders; (6) preparation of the register of units, transfer of units and restriction, and issuing certificate of entitlement; (7) investment
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net
operation of Coindee. His failure to perform the required duty of his position resulted in the offence committed by Coindee concerning the case that Coindee failed to maintain the net capital (NC) in
to be the appraisal company in capital market and the lead appraiser under first paragraph shall conform to the register requirements of the Institution of Appraisal Profession under Chapter 2. The
action to comply with the Registrar request for the Company’s capital register to the Department of Business Development, Ministry of Commerce 3.3 To execute the application and necessary supporting