Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
prevention equipment with directly recognition to the owner’s equity 26. retained earnings (deficits) 26.1 Appropriated 26.1.1 legal reserve 26.1.2 others 2.6.2 Unappropriated 27. deducted Treasury stock 28
category under the relevant supervisory law; (2) being capable of maintaining capital and reserve under relevant supervisory law; (3) not being restricted, suspended or restrained of its operation by
Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which
Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
ของสมาคมและ SRO) โดยคำนึงถึงความเสี่ยงที่พนักงานอาจมีการปฏิบัติไม่เป็นไปตามกฎเกณฑ์ ในกรณีที่มีความเสี่ยงสูง ผู้ประกอบธุรกิจต้องมีมาตรการเพิ่มเติม (enhance) ที่จะทำให้ติดตามตรวจสอบได้ว่าพนักงานมีการ
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in