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
securities Private Placement General approval / no duty to disclose information Public Offering Require approval / disclosure of information Impact and mechanisms to preserve the right of stakeholders
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
Platform of Choice” in order to maintain existing clients with good track records while also broadening opportunities to acquire new patrons via digital channels. KASIKORNBANK has established its business
bid to promote and maintain the readiness of important systems of derivatives clearing houses so that they can operate continuously; (5) disclosure of information in a clear, transparent, and adequate
exsisting shareholder proportionally purchase the newly issue warrant as described above. (2) GS can distribute water supply to enuser and reservoir can maintain an average water for distribution not less