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.
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
public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
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
with accountability by using knowledge, skill, experience and prudence as usually required from the person of same profession and to uphold professional code of ethics of a financial advisor; (2) to
to enhance operational efficiency. The Company focuses on asset enhancement initiatives to increase the value of existing shopping malls, customers, tenants and societies, and to maintain normal
derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1) 3 registered derivatives business operator who is a commercial bank, a
derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1)3 registered derivatives business operator who is a commercial bank, a