investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while
market and foreign laws is conducted. The proposals resulting from this study will be greatly beneficial to amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to enhance
technologies for their business strategies and adopt corporate governance as a part of their corporate culture in parallel with caring shareholders and related parties, which could help enhance corporate value
wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
will meet the demand of the customers, which will increase Company’s competitiveness and continuously maintain growth rate of the Company. (9) Source of Funds : The Subsidiary will use its term loans and
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
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Capital The objectives for the determination of minimum paid-up registered capital are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types