liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive

less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the

undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake

notified by the Office, irrespective of whether they are borrowed under one transaction or consecutive transactions from one lender or more. Clause 6. In carrying out the borrowing and lending of securities

prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and

- organization chart - รายชื่อและตำแหน่งผู้บริหารสอดคล้องกับ organization chart หรือไม่ - กรณีเป็น holding company ได้ระบุข้อมูลผู้บริหารของ บริษัทย่อยที่ประกอบธุรกิจหลัก - รายชื่อและตำแหน่งของผู้บริหาร

following two business days; (2) improving the capability to maintain collateral and liquid asset adequacy for a period of not less than seven consecutive business days, within thirty days from the date on

: (1) being a gold trader for not less than 3 consecutive years and being a member of the Gold Traders Association, the Thailand Gold Retail Club or other organizations recognized by the SEC Office; (2

) being a gold trader for not less than 3 consecutive years and being a member of the Gold Traders Association, the Thailand Gold Retail Club or other organizations recognized by the SEC Office; (2) of

which causes a movement or change in the client’s assets for a consecutive period of one year or longer, the securities company shall send a report on the client’s assets as of the last business day of