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

the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the SEC Office of such disqualification. Consequently, he shall

มีความซับซ้อน (complex) และ/หรือเสี่ยงสูง (risky) ได้แก่ - derivatives หรือตราสารที่มี embedded derivatives - ตราสารหนี้ที่ตราสารมีความเสี่ยงมากกว่า senior debt และ/หรือความเสี่ยง ของตราสารไม่สามารถ

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

the term of the program under Clause 27 and Clause 52, certain facts appear to the SEC Office showing that the approved entity has failed to maintain the qualifications in accordance with the approval

maintain its strong economic fundamentals, with a current account surplus of USD 37.3 billion, approximately 6.8 percent of GDP, and international reserves standing at 1.3 times its total foreign-currency