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
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...
; ในการซื้อขายและการส่งมอบ/รับมอบสินค้า (physical delivery) ของสัญญาซื้อขายล่วงหน้า
Delivery of Notifications and Clarification Notes
diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
liquid capital rule applicable to securities company for the purpose of ensuring confidence in trading system. The rationale for the new requirement is that obligation to make delivery of or payment
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
operators are unable to maintain net capital (b) business operators default on the clearing and settlement of securities with the clearing house or their clients in case of securities companies, or
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital