Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange

(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to comply with the rules of the Capital Market Supervisory Board when DBS failed to maintain the net capital which violated section 141 of the

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to

has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

limit damage to customers and the capital market in general in case the businesses face financial difficulty. The securities companies and derivatives brokers are presently required to maintain net