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
return continuation in the short term Low risk Liquidity-constrainted investors hold leveraged positions in low-risk assets which they may have to sell in bad times when liquidity constraint become binding
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
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
. 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
. On the domestic front, elevated household debt remains a constraint to purchasing power. In the meantime, domestic political situation also warrants monitoring as the government is preparing for an
to the SEC on the audit inspection results both at the firm level and the engagement level. In 2016, the QARP comprised six non-practitioner members and three practitioner members. To maintain the
account costs and benefits of the proposed revisions and necessity to maintain fairness in the capital market.The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are