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.
Our Ref: APURE 017/2021 14 May 2021 Subject Clarification on First Quarter’s Operating Performance (1/2021) Attn. To The Director and President of the Stock Exchange of Thailand The company clarifies
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
-Translation- Ref. No. PorBor. 050 / 2019 December 27, 2019 Subject: Entering into Transaction of Acquisition of Associate Company’s ordinary shares To: President The Stock Exchange of Thailand
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
listed securities, for clients through a member of SET. (9/1) “SET” means the Stock Exchange of Thailand; (10) “Office” means the Office of the Securities and Exchange Commission; (11) “units” means
. (9/1) “SET” means the Stock Exchange of Thailand; (10) “Office” means the Office of the Securities and Exchange Commission; (11) “units” means investment units of mutual fund, certificate of pooling
clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “SET” means the Stock Exchange of Thailand; “unit” means an investment unit of a mutual fund, certificate
seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report