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
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
to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date, including keeping of report or article analyzing value or advisability of trading in
amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date
amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 30 เมษายน 2566 สอบทานล่าสุด 30 เมษายน 2566
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 12 สิงหาคม 2567 สอบทานล่าสุด 12 สิงหาคม 2567