brokerage of debt securities or investment units, shall have paid-up registered capital of not less than five hundred million baht, effective from 1 January 2012 onwards. Clause 3. The securities company

derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of

audited financial statements for the most recent financial year; (b) having direct investment in securities or derivatives in the amount of not less than forty million baht, or not less than eighty million

of contribution in such limited partnership is less than one percent of the total amount of the contribution of that limited partnership; (e) in the case where the shareholding in such limited company

licensed to undertake securities business in the category of mutual fund management shall have the paid-up registered capital of not less than Baht 100 Million. Clause 2. This Notification shall come into

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) PAGE (Updated 2017) photo size 1 inch (taken less than 1 year) 2. Background and Details of Applicant Requesting Approval 1. First and last name of

broker as follows; (a) A securities company that holds not less than seventy-five percent of total sold shares of such derivatives broker; (b) A securities company having a commercial bank holds not less

business day in the amount not less than fifteen million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the

accordance with the criteria as follows: (1) the derivatives broker shall maintain its net capital as at the end of any business day in the amount not less than 15 million baht and not less than 7% of the

or equivalent degree accredited by the Office of the Civil Service Commission and not less than three years of work experience; or 2. Lower than a bachelor’s degree and not less than five years of work