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
submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and shall pay the application fee for approval to be investor contact according to
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
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
than one million Baht and not less than seven percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding
รายงาน และการเปิดเผยข้อมูลเกี่ยวกับ การจัดการกองทุนส่วนบุคคล ลงวันที่ 27 สิงหาคม พ.ศ. 2544 ““แฟ้มข้อความ” หมายความว่า การจัดเก็บข้อมูลโดยการบันทึกข้อมูลนั้นในรูปแบบ อิเล็กทรอนิกส์ (electronic file) “ระบบ
and reports as well as a backup system and an emergency plan for recovering information stored in an electronical form; (2) determining a password to access information stored in an electronic form and
electronic work system of the Office. The Office shall notify the securities company of the result of consideration of the application within thirty days from the date in which the Office receives the
managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment