derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its

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

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.

. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund

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

provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives brokerage business; (3) The

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

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

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

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note