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

5.3 Number of investment consultants (if any): ...... Person(s) 5.4 Back office operation Located at a full branch office Sharing resources with a full branch office Located at

applicant shall declare the possession of the following systems; 1. Systems for selecting custody agent to ensure that such custody agent has operational systems relating to asset custody, as specified by the

and derivatives business operators located in Narathiwat, Pattani, Yala, Satun and Songkhla provinces shall include Chinese New Year as well as Hari Raya Puasa (Aidilfitri Day) and Hari Raya Haji as

: 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

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

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

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