SEC; (2) not having a reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant’s financial hardship. In
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
or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the
to cause damage or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or
> Management of Mutual Fund > Additional rules for guaranteed funds Regulations SHARE : Detail Content Management of Mutual Fund 21. Additional rules for guaranteed funds (1) In an arrangement with a new
reasonable ground to believe that the applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant ’s financial hardship, including not having any
applicant has financial condition that is likely to cause damage or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the