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...
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
May’19 – Jun’19, C-Vitt continued to maintain its number one position in functional drinks market, driving C-Vitt’s market share at 25.3% and overall Osotspa’s functional drink market share at 33.6
-brand portfolio strategy to maintain Q1’19 market share in energy drinks at 53.7%, which aligned with our mid-term guidance. In functional drinks market, C-Vitt maintained its leadership position, with
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.
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures