financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
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
, and infrastructure funds. The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group
addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.
Bangkok, October 26 2011 ? SEC Secretary-General Vorapol Socatiyanurak expresses his concern over impact of flooding situation that ?flooding of this magnitude has affected some manufacturing and
proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
addressed a concern on legal issues in case where the foreign bank branches in Thailand encounter financial hardship and the assets located in Thailand are not adequate to cover the repayment of all
prescribed term,- Setting the daily redemption value of the mutual fund,- Dividing mutual fund assets by the degree of their liquidity or the ease/difficulty of valuating the invested assets
such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members