(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to comply with the rules of the Capital Market Supervisory Board when DBS failed to maintain the net capital which violated section 141 of the
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
group comprise independent audit regulators from four ASEAN jurisdictions, namely the Audit Oversight Board of Malaysia (AOB), the Accounting and Corporate Regulatory Authority of Singapore
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors in the audit firm who has
Board concerning the Selling of Newly Issued Debt Securities and Derivative Warrants of a Securities Issuer. Chapter 2 Authority of the SEC Office ____________________ Clause 8 In the cases it appears to
. Although this circumstance is not a normal transaction of the Company, the Company had to issued credit notes and received program rights return of Baht 220 million to maintain business relations with the
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