obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
Bangkok, October 5, 2015 ? The SEC notified Polaris Capital Public Company Limited (POLAR) to submit and clarify all information within seven days as well as ordered the approval of POLAR capital
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...
Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives
Digital Asset Businesses B.E. 2561, which aims to ensure investor protection and maintain fair and transparent trading activities, investors in Thailand can invest in digital assets through licensed digital
The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered
accommodate the repayment of such liabilities at all times. Examples include proceeds from the sale of securities that government agencies have ordered the business operator to suspend repayment to customers