, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
accordance with the relevant rules and for the work unit responsible for post-trade operation to confirm the securities buying or selling with the counterparty promptly. Clause 8 A securities company shall be
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
license and evidence on renewal of such license; (11) Copy of Identification Card; (12) Copy of the Shareholders Name List (Form Bor. Or. Jor. 5). In this regard, I confirm my willingness to provide
the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of
derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Success) และเมื่อเรียกดูสถานะของเอกสารที่ปุ่ม “ Click ที่นี่เพื่อดูประวัติการส่งข้อมูล ” ระบบจะแสดงผลเป็นรายการที่ส่งเป็น Not confirm จนกว่าจะถึง 6.00 น. ของวันรุ่งขึ้น เมื่อระบบ จึงจะเปลี่ยนเป็น Confirmed