in the information processing facilities and put in place a periodic maintenance to prevent damages; 3. The intermediary should correctly maintain equipment assets to ensure their continued

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

, 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

Company dated 4 January 2000 shall be repealed and replaced by the following texts: “ Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not

August 2004 ; Clause 2 In this Notification: (1) “ net capital ” means liquid capital deducted by risk haircuts ; (2) “ liquid capital ” means liquid assets deducted by total liabilities ; (3) “ liquid

submitted to the SEC Office. Clause 4 The intermediary shall maintain the captial in the amount not less than the maximum rate of the following amounts: (1) one hundred thousand baht; (2) average quarterly

person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets

capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase

capital ” means liquid capital deducted by risk haircuts ; (3) “ liquid capital ” means liquid assets deducted by total liabilities ; (4) “ liquid assets ” means the total sum of the following assets: (a

maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year