possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.

structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be

, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification

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

information Specify other information that may influence investors' decision making significantly or ensure equal information access for all investors, as deemed necessary and useful. In any case, the Company

issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

or trustworthiness of the system of trust business, the SEC shall have the power to specify conditions for undertaking trust business. In cases where there has been a change in the necessary