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.
or less than 1.5 times of the minimum amount of net liquid capital which a securities company shall maintain, a securities company shall file the report of net liquid capital calculation of such day
securities having characteristics similar to units as specified by the Securities and Exchange Commission. Clause 3 A securities company shall maintain its net capital not less than 15 million baht and [net
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any
retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
company, the company shall maintain either collateral or liquid asset or both with adequate value as prescribed by the Office, and calculate and report of maintaining collateral and liquid asset adequacy in
the securities company for the circumstance in (c). The securities company shall record and maintain all information obtained under the on-going KYC/CDD process in the first paragraph. Also, where there
maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9. A securities company shall retain