retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that

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

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment 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

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