implement a system that separates proceeds from the PVD into two parts as contributions and non-contributions. (3) Maintain information of each unitholder about age, duration of the membership or of being a
can timely identify, capture, process, communicate and maintain relevant and reliable information for supporting the SOQM? 3 How does the firm keep the communicated information current, meaningful and
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
or less than 1.5 times of the minimum amount of net liquid capital which a securities company shall maintain, a securities company shall file the report of net liquid capital calculation of such day
times of the minimum amount of net liquid capital which a securities company shall maintain, a securities company shall file the report of net liquid capital calculation of such day and every following
times of the minimum amount of net liquid capital which a securities company shall maintain, a securities company shall file the report of net liquid capital calculation of such day and every following
the Notification of the Office of the Securities and Commission; (10)1 repealed. Clause 2 1 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital
Office of the Securities and Commission; (10)1 repealed. Clause 21 A derivatives broker shall maintain its net capital of not less than fifteen million baht and [net capital ratio] of not less than seven