(section 92) Net Liquid Capital (section 97) Capital Reduction (section 98(1)) Anti-fraud Provisions (section 98(3)) Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) Proprietary
Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel
Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval
Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major
and Exchange Commission SorThor. 20/2554 Calculation and Report of Net Liquid Capital Calculation (No. 5) 23/06/2011 01/07/2011 13. Notification of the Office of the Securities and Exchange
. 20/2554 Calculation and Report of Net Liquid Capital Calculation (No. 5) 23/06/2011 01/07/2011 10. Notification of the Office of the Securities and Exchange Commission SorThor/Nor. 18/2554 Reporting