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...
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
auditor rotation, aiming to enable the audit committee to appoint an independent individual to be its auditor and promote the auditors to truly maintain their independence.
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
three years relating to gold; (4) Being able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the
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.