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...
บริษัท หลักทรัพย์จัดการกองทุนกสิกรไทย จำกัด|กองทุนรวมฟีดเดอร์ | วันที่เสนอขาย : 24/05/2564 - 28/05/2564
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
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.
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
pending settlement transactions such as penalty fee in lieu of securities delivery or penalty fee for failure to obtain benefits is allowed to maintain balance in a Non-resident Baht Account for Securities
contract with gold as an underlying asset. - Commercial banks are permitted to grant Thai Baht-denominated direct loans to non-resident juristic persons per established criteria. - Commercial banks are