virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any
reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
Exchange Commission No. Kor Thor. 25/2560 Re: Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee By virtue of Section 14 of the Securities and Exchange Act B.E
: Determination of Paid-Up Registered Capital of Securities Company Licensed to Undertake Securities Business in the Category of Private Fund Management dated 18 September 2000. (2) The Notification of the
, business liquidation or suspension, acquisition or disposal of significant assets, operating results and profits, liquidity and capital sources, asset quality, management of off-balance sheet transactions
strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 34/2556 Re. Arrangement in Operating System of Securities or Derivatives Investment for Business
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service