Facebook page "Choose wisely in financial business" : Unlicensed securities and derivatives business (Disclosure Date : 20/11/2025)
During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the
Facebook อ้างชื่อ Choose wisely in financial business - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 20/11/2568)
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
-old and older would account for approximately 20 percent of the total population. Pension or traditional welfare alone is unlikely to sufficiently maintain the retirees? living standard. In light of the
fund (RMF) and maintain the same benefits given to active PVD members in the event that the employers? PVD is dissolved or the employees? membership ends. The Capital Market Supervisory Board (CMSB) has
, a rise of 7.3% year-on-year. The number of employers reached 11,249, an increase of 12.7%, while the number of employees was at 2.3 million, a rise of 8.6%. 3,338 members requested to maintain their
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
in the contract is paid to the buyer. 2.2 Risk of Loss from Options Trading A buyer of options may choose to offset his position or exercise the options or can simply allow the options to lapse. If the
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.