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for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the

category of venture capital management; (2) have objectives limited to operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to

following month, and within two working days from the date NC =< 1.5 times of minimum requirement ​ Quarterly Reports​ ​ Quarterly Complaint Handling Summary (Notification No. TorThor/Khor/Dor/Nor. 62/2552

 executives’ knowledge,competence, honesty and working experience. Clause 2 Person intending to establish a limited company or public limited company for operating securities business in the category of venture

specifies a minimum paid-up capital of 100 million baht for security company operating securities business in the category of securities dealing or securities underwriting or the securities company keeping

operational system, human resources and working capital promptly for operating securities business in the category of mutual fund management as specified in Clause 3 or Clause 4, as the case may be. Clause 12

respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in

working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws