) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
B.E. 2535 as amended by this Act has been completed. SECTION 42 All rules, regulations, notifications, or orders of the SEC, the Capital Market Supervisory Board, the SEC Office or the Stock Exchange of
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading