of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
in any state agency in charge of the supervision of derivatives businesses or financial institutions; (5)2 being a person not having educational qualification, working experience, or other
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in
of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as advised by the SEC, due to gross