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...
: “As the financial services sector evolves at an unprecedented pace, it is key for regulatory bodies to maintain a constant stream of knowledge exchange to stay abreast of innovation in the sector
Management Name : Mr WILLIAM LEWIS STONE | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 11/12/2015
Management Name : Mr WILLIAM LEWIS STONE | Type of securities : Common share | Methods of Acquisition / Disposition : Buy | Transaction Date : 21/06/2016
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
the rest of the year. In general, fixed costs will reduce due to Covid-19 restrictions on travel and mitigation plans in place for fixed cost savings in all departments. On the variable cost side stone
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.
Golden Lime. Third, we closed the transaction to acquire a 99.79% majority stake in Thai Marble Corp., Ltd. (TMC), an ornamental stone and limestone business in Saraburi Province, that is of high strategic