in the amount not less than 1 million baht and not less than 7% of the general liabilities and collateral: (a) not keeping the client’s assets in its possession; (b) not having investment in or holding
possession of prohibited characteristics pursuant to the law governing derivatives and notifications issued by virtue of the said law, the granting of approval for the appointment of director or executive of a
, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital
director of the derivatives exchange shall be vacated from his office upon: (1) possession of any prohibited characteristics under Section 61; (2) removal by the SEC due to gross incompetent in the
underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short selling by means of entering
units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short
account: (a) there shall be [i] an asset for exchanging with the ETF units or [ii] the ETF units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of
of the agricultural derivatives business according to the type specified in the license only after the SEC Office has examined and viewed that the licensee can demonstrate its possession of: (a) good