Company dated 4 January 2000 shall be repealed and replaced by the following texts: “Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not less
2000 shall be repealed and replaced by the following texts: “Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not less than five years. In
application, if it appears that the applicant can not maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial
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.
achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit and proper for the
coordinating with other units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence
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
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
bid to promote and maintain the readiness of important systems of derivatives clearing houses so that they can operate continuously; (5) disclosure of information in a clear, transparent, and adequate
and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days