price changes of instruments or underlying assets in a way that causing potential loss to business operators. This happens when the operators take positions (either long or short) in these securities
the shareholders’ equity. *** Position risk refers to the risk arising from changes in the prices of securities or underlying assets in a direction that results in potential loss for the business
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
listed securities as same as institutional investors, in addition to the current eligible assets which are government bonds and investment-grade debentures only. (2) SEC will consider the
? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai
Pacific at CDP, said: “CDP is delighted to partner with the Securities and Exchange Commission on this important programme, putting our 20 years of data, insights and expertise at their disposal. This
Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite
SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English