Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

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

investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while

asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to

capital rules serve as initial capital requirement for those intending to operate a securities business. Once the business operation begins, the licensees must also maintain on-going capital suitable for

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

Bangkok, January 4, 2012 ? The SEC announced today the Strategic Plan 2012 accentuating the capital market?s role as a key driver of economic growth and regional leadership in preparation for the

The SEC has endorsed the concept of requiring audit firms to maintain an appropriate number of auditors in the capital market to enhance their overall strength and ensure sufficient staff to provide