calculation as specified in Clause 3. (2) “electronic data” means statements that are created, sent, received, stored or processed through electronic procedures. (3) “securities company reporting system” means
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.
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
. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5
the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is
provided in the Office’s electronic work system: (1) report on appointment of property fund managers which shall be submitted not less than fourteen days prior to the appointment date; (2) report on
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause
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
organizer to send the participants’ information to the database center via the electronic system to facilitate access of information of the Contacts. 2. Further education The Contacts who have passed the
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange