financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe

will be able to operate the businesses after receiving the licenses from Minister of Finance.”If people have suspicion on investment in digital assets, please notify SEC at 1207

addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.

(effective on 16 April 2016). 9 17 (5) for the management of the REIT: (a) there shall be no reasonable suspicion that the mechanism for managing the REIT is unable to protect the rights of the unitholders or

, otherwise, investors may lose a large amount of money. Those who have been persuaded or have suspicion, please contact SEC Help Center at 1207,” Rapee added.Those who are interested and intend to apply for

prescribed term,-       Setting the daily redemption value of the mutual fund,-       Dividing mutual fund assets by the degree of their liquidity or the ease/difficulty of valuating the invested assets

have subscribed for those structured notes. Clause 10/11 In cases where any of the following grounds for suspicion appears to the SEC Office, the SEC Office shall not approve, suspend or revoke the

regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there