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

the securities company under the first paragraph undertakes securities business in any of the following manners, such securities company shall have paid-up registered capital of not less than one

customer complaint in the following manners: (1) considering and solving the customer complaint rapidly according to the procedures and means as prescribed in Clause 2(2); (2) notifying the results to the

following manners is not deemed as undertaking derivatives business in the category of derivatives advisory services: (1) giving advice in or from the Kingdom of Thailand to not more than fifteen investors

the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly

and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1

transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering into any transaction for a

is related or has a relationship with other businesses in any of the following manners: (a) most of the directors and executives of such juristic person are the same group of people who are the

issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to

following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person