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

9 July 2025 to ensure thorough audit process before submitting the report. Nevertheless, the SEC instructs SAM to expedite the audit reporting process in accordance with the specified timeframe

, such as websites of DR issuers, underlying foreign securities and the Stock Exchange of Thailand.  Furthermore, investors must study terms and conditions of deposit agreements to have thorough

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.

inability to submit both financial statements and requested for further deadline extension. After thorough consideration, the SEC turned down the request this time.

and financial reports of initial public offering (IPO) and public offering (PO) companies.The proposed rules would require that the CFOs and accountants of the IPO and PO companies maintain thorough

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

the Internet, and the inconvenience for thorough reading of lengthy registration statements and prospectuses.The proposal is not expected to add much compliance cost because in practice issuers tend to

effect.    The issuing companies are required to prepare notice calling a shareholders? meeting with thorough information on dilution effect caused by CD issuance including 1) number of shares reserved for