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...
to have failed to maintain sufficient quality control system in accordance with the professional standards, which will raise the investor protection and creditability of Thai capital market to be in
category and item which all affect the scores. Therefore, it is gratifying that Thai listed companies are still able to maintain their leadership in the ASEAN region." said Mr. Prasan Chuaphanich
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
with allowance for doubtful debts in the amount of 320 MB. Management had evaluated and decided to take immediately the legal actions against related debtors and guarantor to collect the debts • Finance
had evaluated and decided to take immediately the legal actions against related debtors and guarantor to collect the debts Finance Cost Q3/2017, the Company and its subsidiaries have the loan interest
the fourth Quarter of 2019 Our key strategy is to maintain our market share in domestic market by improving our sales strategy and developing new products, which will complete our product offering in
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.