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
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
In the past, SEC had been approving securities business operators to assign outsourcing in other operations related to businesses for the effectiveness and flexibility of the operation. Business
. Thakorn Taweesri and (5) Mr. Danuj Bunnag. As a result, they were deemed to have untrustworthy characteristics to become company directors or executives and were banned from serving as directors or
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
The SEC is holding a public hearing on the amendments of the Regulations RE: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds to reduce obstacles for power
?Bangkok, August 4, 2014 ? The SEC will allow commercial banks to offer for sale to retail investors, Basel III tier 2 instruments with condition of conversion to equity and specified floor