costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
. ?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of companies and executives, and (3) market force. In so doing, the
The move follows SEC hearing at the end of 2018 on the amendment of the regulations on the maintenance of capital of investment management companies that manage property funds and infrastructure
, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
, brings about different outcomes, and can be applied on different levels. The supervisory mechanism covers three areas, i.e., self-discipline, market discipline and regulatory discipline. To create
capital ( NC ) in a specified amount in order to sufficiently cover risks from conducting business . However, the rules, which are currently in effect, should be revised with respect to maintenance of NC in