Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
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
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
brokerage of debt securities or investment units, shall have paid-up registered capital of not less than five hundred million baht, effective from 1 January 2012 onwards. Clause 3. The securities company
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
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital
selling, transferring, or redemption before maturity, and shall have credit rating according to clause 7/2; (5) investing in investment unit of money market fund which has unit repurchasing policy on a
of the Notification of the Capital Market Supervisory Board No. Tor Nor. 87/2558 Re: Investment of Funds dated 17 December 2015. “SEC Thailand is a recipient of Digital Government Awards 2020 and
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing