who is a foreign juristic person under Clause 4(3) shall possess the qualifications as follows: (1) having shareholders’ equity not less than fifty million dollars or at equivalent; (2) being a

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.

shareholders’ equity of the derivatives broker ; (b) financing lease which is under the condition allowing for early termination of lease by the derivatives broker as the lessee without purchasing the asset

of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as

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

the Notification of the Office of the Securities and Commission; (10)1 repealed. Clause 2 1 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital

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

the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange

derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission

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