of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering