THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
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.
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
securities company shall maintain its net capital not less than 15 million baht and [net capital ratio] not less than 7% of general liabilities at the end of any business day. In case of the securities company
investment trust or other securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than
a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any business day in the amount not less than fifteen
: Temporary Rules on Business Operation of Specific Intermediaries And a Certain Type of Derivatives Intermediaries shall maintain the capital in accordance with Paragraph 1(1) only. With respect to the
accordance with the criteria as follows: (1) the derivatives broker shall maintain its net capital as at the end of any business day in the amount not less than 15 million baht and not less than 7% of the