intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
thereof, as the case may be; (b) in case of a securities company in category of mutual fund management company or private fund management company, such securities company shall have shareholders’ equity
exposed to any market risk and gained profits from every transaction they entered into in connection thereof. For the sale side, Numkrit sold the securities owned by UBS?s clients to his conspirators at the
this regard, the independent director thereof shall not possess prohibited characteristics as specified by the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the
Notification. In this regard, the independent director thereof shall not possess prohibited characteristics as specified by the Notification of the Capital Market Supervisory Board concerning Rules on Personnel
the regulations of such regulators, it shall be deemed that the intermediary has had the independent director in accordance with this Notification. In this regard, the independent director thereof shall
external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of