pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
the capability of the derivatives broker in undertaking derivatives business continuously, the derivatives broker shall set up an implementation plan or measures in the case where derivatives broker or
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives brokerage business; (3) The
company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
the responsible person of such scheme. “ credit rating ” means the credit rating by a credit rating agency accepted by the SEC Office which estimates the capability to make repayment under instruments
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in