Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed
while classification of assets treated as capital will be more flexible. In this regard, guidelines for the business operators unable to maintain adequate capital will also be prescribed. The consultation
results Sort by: Relevance Date (Newest) Date (Oldest) QAQR-06.xlsx institution, insurance, construction, digital assets ) obtain/maintain the required specialist knowledge? Does the firm have special
Funds, REIT managers and trustees. Under the proposed amendments, investment management companies are required to maintain three types of capital, namely, (1) the initial capital or the minimum owner’s
. Low risk (volt.) Premium: Liquidity-constrained investors can no longer sustain their leveraged position during crisis. Size Premium: Smaller stocks tend to have lower profitability and high uncertainty
maintain the readiness of important systems of securities clearing houses and central securities depositories so that they can operate continuously; (5) disclosure of information in a clear, transparent, and
economic environment may also have an adverse impact on Group sales. Any failure in the Group's efforts and strategies to maintain the strength of the Brand in the face of adverse macroeconomic or
. Section 15/1. The agent to collect and receive payments of debts shall have a duty to maintain separately an account and a list of the debtors’ name in respect of the transferred assets. A debtor shall be
assets as collateral, mutatis mutandis . Section 15/1. The agent to collect and receive payments of debts shall have a duty to maintain separately an account and a list of the debtors’ name in respect of