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
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date
amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
the regulations concerning net capital1, such intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from