process of the regulatory framework is completed. In addition to meeting the required minimum paid-up capital, the intermediaries are also subject to maintaining on-going capital requirement (Net Capital
date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of any securities company in the amount equal to or exceeding ninety-nine percent of the total paid-up
shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
be completed within one year after the date of approval. It must submit checklist to the SEC with the report of the sale results within 15 days. ESOP Rules Can be divided into two cases according to
estate were unable to make up an aggregate value of > 500 million baht or > 75% of the total assets within 1 year from date of the disposal of the assets. A resolution passed by the unit trust holder to
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paragraph. Clause 4 Limited company or public limited company newly established to apply for securities business license in the category of private fund management shall- (1) have a paid - up registered
the exercise date The number of underlying shares is not more than 50 percent of the paid-up registered shares. Number of underlying shares = underlying shares for convertible debentures and