& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major
requirements on qualifications of each type of licenses will also be adjusted accordingly to ensure that the salespersons will have proper knowledge of the products they offer. Additionally, to increase the
the qualifications of applicants for approval of debt offerings in accordance with consistent guidelines and standards to ensure greater clarity and practicality.The proposed regulations for issuance
demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the
the issuer. Nonetheless, the issuer must maintain its qualifications and compliance with approval conditions as well as disclosure requirements all through the program; unless otherwise, the approval
gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which
be granted a license to undertake gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees