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.
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
GMO-Z com Securities (Thailand) Public Company Limited GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
failure to maintain net capital (NC) together with the reasons of such incident to the SEC office within the period specified in the notification of the Securities and Exchange Commission. DAB Act S.94
failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net
operation of Coindee. His failure to perform the required duty of his position resulted in the offence committed by Coindee concerning the case that Coindee failed to maintain the net capital (NC) in
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital