. 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
the program pursuant to Clause 23 or Clause 55, certain facts appear to the SEC Office showing that the Thai government agencies have failed to maintain the qualifications in accordance with the
. Clause 13 If, during the term of the program under Clause 23 and Clause 53, a certain fact appears to the SEC Office showing that the approved foreign entity has failed to maintain the qualifications in
has failed to maintain the qualifications in accordance with the approval rules, or has failed to meet the conditons after aprroval, or has failed to diclose a complete, correct and sufficient material
According to the findings from the SEC’s investigation, Longroot failed to maintain the qualifications regarding financial position, management structure, and work systems throughout the approval
an offer for sale of units under this Clause, the term, “seller of real estate” shall replace the term, “issuer and offeror of securities.” Division 2 Financial Advisor for Acquisition of Securities
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special
while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation
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