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.

acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty

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

securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for

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

standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties , responsibilities, or

equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business

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

: (1) ensure safekeeping of the collateral, and call for additional collateral from the borrower if necessary to maintain the collateral to loan ratio in compliance with Clause 9 (3); (2) have in place a

significant incomes must be displayed in a separate row (if any). 2.2 Give a separate description of each product line or business group in the following matters (according to the income structure). The