Capital Market Supervisory Board No. TorKhor. 4/2551 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546
is strictly for reference. 5 Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and
Exchange Commission No. Kor Thor. 32/2560 Re: Maintenance of Net Capital ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities
person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets
rebalancing the client’s portfolio advisory ; (3) have a written agreement with clients regarding the following matters: (a) method and procedure for executing trading orders of capital market products
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________