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

Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed

account costs and benefits of the proposed revisions and necessity to maintain fairness in the capital market.The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are

prior to the registration of the security, and failing to adequately monitor and maintain the collateral for the bonds. SEC Act S.46 Settlement Committee Meeting No. 10/2025 Settlement Committee

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

Funds, REIT managers and trustees. Under the proposed amendments, investment management companies are required to maintain three types of capital, namely, (1) the initial capital or the minimum owner’s

derivatives business registration under this Notification shall be deemed terminated. Chapter 2 Maintaining Registration _____________ Clause 11 A registered derivatives business operator shall maintain its

derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1) 3 registered derivatives business operator who is a commercial bank, a

derivatives business operator shall maintain its qualification all the time as registered derivatives business operator as follows: (1)3 registered derivatives business operator who is a commercial bank, a

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