outstanding loans (including guarantees of any kind) made by the issuer or any of its parent or subsidiaries to or for the benefit of any of the persons listed above. The information given shall include the
purpose and FCD account without obligation, for which the outstanding balance must not exceed USD5 million. Moreover, cash deposit into an FCD account is increased from not more than USD10,000 per day, to
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
transactions concerning the money changing business; outstanding balance of all such accounts in all currencies at the end of each day must not exceed USD 50,000 or its equivalent. 4. Payment in Thai Baht of
of close associates. As a result, NUSA was required to amend its financial statements to ensure disclosure of accurate information. However, it has been found that the annual financial statements for
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
result of the License return shall be deducted by the outstanding license fee. The residual compensation, after a deduction of license fee, equals to Baht 675.76 million. 3.2. Calculation of the