regulations of all daily routines. In addition, the know your client rule must be adopted to identify the client?s investment objectives and actual beneficial owners. Informing clients of risks that may arise

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

) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market

maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market conduct; (6) competent staff

identify the end beneficiaries and enhance the efficiency of transaction scrutiny and law enforcement while building trust in program trading or algorithmic trading, which helps to increase the overall

identify the end beneficiaries and enhance the efficiency of transaction scrutiny and law enforcement while building trust in program trading or algorithmic trading, which helps to increase the overall

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.

financial ratios during the latest accounting period with the compulsory ratios). In case of failure to maintain such compulsory ratios, clarify the impacts and rectifications. 14.2 Identify potential factors