hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts of the
professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts
breaches of the laws, code of ethics and professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market
maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b
to operate as a custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and