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
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to
has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
limit damage to customers and the capital market in general in case the businesses face financial difficulty. The securities companies and derivatives brokers are presently required to maintain net
forward, any improvement in the global economy will mainly hinge on the above factors. As a result, several central banks are expected to maintain their accommodative stance. Even though the Federal Reserve
debt collection in order to maintain our asset quality management efficiency. 3 Regulations on Permission Given to Commercial Banks to Operate Information Technology-Related Services to Support Digital
investments are to maintain brand awareness, build the new brand, and simultaneously add business value to the group, all of which are expected to gradually generate returns in the future. As for food business