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
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
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
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
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
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
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the