operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is
Regulation. Clause 2 Applicant for securities business license in the category of investment advisory service which is a legal entity under Clause 1(1) to (5) shall- (1) be able to maintain capital funds and
Funds, REIT managers and trustees. Under the proposed amendments, investment management companies are required to maintain three types of capital, namely, (1) the initial capital or the minimum owner’s
investments show a decrease of 81.00 million baht or 35.48% y-o-y. Account receivables and other receivables is an increase of 84.35 million baht or 64.79% y-o-y. Inventories show a decrease of 27.64 million
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that an efficient
specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that an efficient
derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its
derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1) 3 registered derivatives business operator who is a commercial bank, a