asset rules, investment rules with higher level of diversification and reclassifications of funds to better reflect investment risks on the basis of exposure to net asset value instead of investment value
Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated
of EMC Public Company Limited (EMC-W3) through securities trading account of another person. The selling was based on material non-public information concerning EMC’s operating net loss of 1,179.10
) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million
notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement
notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No
and truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital
for the year ended December 31, 2018 has net loss in the amount of 47.18 million baht (loss per share 4.72 baht) compared to the previous year, which has net profit in the amount of 9.15 million baht