. Remarks: * The current regulations require business operators to maintain capital of no less than the minimum capital requirement, which includes: (1) maintaining net capital (NC) with liquid assets
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), delivered the opening remarks at an annual seminar titled, “Understanding the Thai Capital Market
other business activities and distinctly segregates its assets from those in its custody. This measure aims to mitigate excessive burdens in maintaining capital adequacy. The consultation paper is
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of
failing to maintain NC to immediately cease the business operation and transfer the customers’ assets to other business operators in order to limit effects on the customers and stability of the capital
maintain capital not less than minimum requirements as follows: (1) Maintaining net capital (NC) with liquid assets less liabilities and risk haircuts not less than the specified value;(2) Maintaining net
Bangkok, July 22, 2015 ? The SEC is seeking public comment on revisions of rules for calculation and report of net liquid capital calculation. The proposed revisions aim to ensure that the
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
Bangkok, September 26, 2011 ? The SEC revokes its approval for status of an approved auditor in the capital market in case of Jadesada Hungsapruek and will not consider his application for approval