The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net

operation of Coindee. His failure to perform the required duty of his position resulted in the offence committed by Coindee concerning the case that Coindee failed to maintain the net capital (NC) in

capacity as the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the Securities and Exchange Commission (“SEC”) of such

, Belgian company, who is an subsidiary of Vinythai, due to practical difficulties to maintain company operation after the expiration of service agreement provided to it by Solvay SA (the former major

1 ผลการรับฟังความคิดเห็นจากผู้ท่ีเกี่ยวข้อง (hearing) หลักการ เร่ือง การยกเว้นให้การเผยแพร่บทวิเคราะห์ ภายใต้ ACMF Professional Mobility Framework ไม่เข้าข่ายการเป็นท่ีปรึกษาการลงทุน 1. การรับฟังความ

custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trading framework. The Custodian Club consists of 13 members, including commercial banks engaging in fund supervision

The meeting agreed to resume discussion to develop mutual recognition framework to facilitate cross-border mutual fund offerings. The discussion was initiated in 2004 before later being halted.  To

In March 2018, ACMF launched the ACMF Professional Mobility Framework to contribute towards investment consultation and analysis on cross-border products in ASEAN region which will facilitate

Bangkok, January 19, 2016 ? The SEC is seeking public comments on draft rules and guidelines for supervising crowdfunding portals.The proposed rules aim to establish a standard framework for