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
investment advice to clients. The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to
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
: 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
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
beneficiary to the total future income; the management company shall show that an analysis has been done on each class of unitholders’ stake in comparison to the creditor or other parties’ rights in that future
notes or investment that such transaction is done by securities company for client’s benefit. In case where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits
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
Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28 November 2001 shall be required to prepare and file the reports for such transactions done prior to the