security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
Printable Format - Laws and Regulations Limited BDU |- Licensing |- Registered Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this
investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and