maintain capital not less than minimum requirements as follows: (1) Maintaining net capital (NC) with liquid assets less liabilities and risk haircuts not less than the specified value;(2) Maintaining net

addition, the auditor was not satisfied using other auditing methods on the value of the said assets. The SEC, therefore, has directed PRO to rectify its financial statement, submit the rectified version

Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands

Bangkok, February 3, 2011 - The SEC is seeking public comments to relax regulations on minimum IPO period and registration of assets in case of general mutual fund to facilitate more flexibility for

, conditions and procedures for the establishment and management of property fund and for the registration of a pool of assets as property fund.The Office is now in the process of submitting such notifications

liquid asset requirement and investment ratio calculation in underlying assets, for example. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties

eliminate private fund's custodian reporting requirement as the custodian does not value the assets on mark to market basis. In order to provide investors with more accurate information on the fund's asset

eliminate private fund?s custodian reporting requirement as the custodian does not value the assets on mark to market basis. In order to provide investors with more accurate information on the fund?s asset

while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation

impairment of assets. In addition, the auditor was unable to use other means to obtain sufficient appropriate audit evidence on the matters. The SEC therefore instructed STHAI to rectify 2012 financial