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...
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Bangkok, September 27, 2012 ? The Thai capital market holds the third place, following Singapore and Hong Kong, in CG Watch 2012 ? a survey on corporate governance of Asian capital markets conducted
Bangkok, February 13, 2012 - The SEC is keeping close watch on the blacklist to be announced next week by Financial Action Task Force on Money Laundering (FATF), revealed SEC Secretary-General
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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.