Section 143 of the Securities and Exchange Act, B.E. 2535 (1992) to give an order otherwise, the investment advisory company under Clause 3 which is unable to maintain adequate collateral and liquid asset
relating to selling or redeeming investment units or client solicitation ; (2) maintain the qualifications as prescribed in Clause 4, Clause 6, Clause 6/1, Clause 8 or Clause 10, as the case may be, at all
business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units
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
debt instruments or investment unit, or securities financing business under the Securities and Exchange Act ; (3) a juristic person established under foreign law, which is a derivatives business operator
Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
any securities, which is not limited to debt securities or the units ; (3) brokerage, dealing or underwriting of units which: (a) has investment in or possess securities for the investment of the