. Remarks: * The current regulations require business operators to maintain capital of no less than the minimum capital requirement, which includes: (1) maintaining net capital (NC) with liquid assets
Supervisory Board No. Tor Nor. 42/2566 Re: Investment of Funds (No. 26) dated 1 December 2023 (https://publish.sec.or.th/nrs/9938s.pdf) and Appendix 1 (https://publish.sec.or.th/nrs/9935s.pdf) Appendix 2 (https
the Securities and Exchange Commission No. Kor Jor. 9/2567 Re: Initial Public Offering of Digital Tokens (No. 11) (https://publish.sec.or.th/nrs/10237s.pdf) and the Attachments: Additional Disclosure
trading transactions had no source of orders. It was also found in the recorded conversation that {A} had been allowed by the client to make securities trading decision. He informed the client of the
: Permission Given to Commercial Banks to Act as Identity Provider or Source of Data in the Digital Format The Bank of Thailand (BOT) issued circular Ref. No. BOT.ForKorKor. c.2053/2561 (2018) Re: Permission
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1