the regulations concerning net capital1, such intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
bondholders’ representatives to have paid-up registered capital at a minimum of 25 million baht, comparable to securities companies that maintain clients' assets in custody. Moreover, funding portals who act
which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
. 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
), amount of capital to be raised, number of units offered, offering price, type of unredeemable units; - Specify the purpose of the REIT fundraising; in case of real estate investment purpose, identify the
available to pay debt securities holders; b. provision requiring the issuer to maintain certain financial ratios; c. provision that restrict the issuer from creating additional debt under certain conditions