Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

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.

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.

Zipmex’s customers that were deposited to earn returns in Thailand in a way that Zipmex, without doubt, could not segregate digital assets of the customers and may use such digital assets for any other

public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who

public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who

process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following

taking into account the best interest of unit holders. In addition, the applicant shall comply at least with the following criteria: (1) no reasonable doubt of the applicant’s financial position which may

Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed  revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for

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