market that have a minimum of four auditors in the capital market. The requirement would take effect immediately for auditors affiliated with audit firms outside the capital market* who submit the
Delivery of Notifications and Clarification Notes
maintain the minimum net capital of B15 million (or at least B25 million if holding derivatives agent license). In addition, securities companies must maintain the minimum net liquid capital of at least 7
shareholders’ equity worth at least 200 million baht or having investment in securities or derivatives at the minimum amount of 40 million baht or in case of including deposits, having investment in such assets
conducting an asset due diligence from every year after the previous due diligence to at least once in a calendar year, and permitting the use of other reliable methods to conduct an asset due diligence
period. Clause 8 The particular on the issuance and delivery of the entitlement documentation of investment units shall contain at least the material information as follows: (1) provision that the
governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by such board of
Access Attempts (if any) At least 3 months Authentication Logs for Database and Network Access User IDs, Dates, Times and Access Attempts At least 3 months Category of logs Minimum Logging Details Minimum
and a minimum of 10 million baht in paid-up capital will also be applicable. Meanwhile, annual license fee will be lowered for the all Type D licenses brokering at least 3 types of the investment unit