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.
custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial
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
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
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
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission
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
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