hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
from those of other assets, and that (2) there have been reports about a number of foreign DA operators experiencing liquidity problems and asset-keeping risks in this regard. The SEC, in the past
SEC has a plan to revise the relevant notification to allow investment consultants of operators of securities and the derivative contract business, who have expertise in investment and keeping
other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14
the Stock Exchange of Thailand Attachment: Management Discussion and Analysis ended 31 December 2017 As the Golden Lime Public Company Limited (“the Company”) has submitted the Auditor’s report on the
lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment
percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment units of the
; (11) having efficient information technology system; (12) having system for arranging and keeping information, documents and evidentiary documentations relating to the intermediary ’s business. In this
efficient information technology system; (12) having system for arranging and keeping information, documents and evidentiary documentations relating to the intermediary’s business. In this regard, such system