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
that such redemption may cause liquidity problem to the mutual fund and thus affects other unitholders. For, funds of funds and feeder funds investing in large overseas funds, however, the redemption may
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as
addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.
information by requiring lead underwriters in the initial public offerings (IPOs) to issue 4 consecutive quarterly research papers for IPO shares. The requirement will help solve the problem of lacking research
for utilising resources more effectively. Having realized the importance of solving the problem sustainably and comprehensively through the involvement and cooperation of the civil society, public
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
services to its customers by preparing and submitting a correction plan for maintenance of NC within 30 days and resolving such problem within 90 days, during which periods customers and stability of the
problem of inadequate retirement savings in Thai society. SEC would like the PVD to sustainably grow, which needs the collaboration among sectors, including the PVD members, who are employees in
should be treated well, in particular their financial wellness. Currently, employee savings remain modest as many of them have no saving or save with a little money while facing problem with their level