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.
calculation as specified in Clause 3. (2) “electronic data” means statements that are created, sent, received, stored or processed through electronic procedures. (3) “securities company reporting system” means
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
Act. “competent official” means any person appointed by the Minister to perform duties under this Act. “Minister” means the Minister in charge of this Act. SECTION 4 A trust may be created for the
derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its
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
directors and executives of other businesses; (b) the juristic person is created from the merger of other businesses or the restructuring of other businesses; (c) the juristic person has acquired other
submitted to the SEC Office. Clause 4 The intermediary shall maintain the captial in the amount not less than the maximum rate of the following amounts: (1) one hundred thousand baht; (2) average quarterly
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