The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
out to differ from those anticipated; 1.2 Misuse of inside information. Any person who has access or possesses inside information (insider) must not seek unfair advantage of other investors or tip
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
Jeeranan obtained or possessed inside information related to the operating results from the fourth quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Warot’s
July 27 ? August 10, 2011, Yongyuth, then CEO of TUCC, told Vorakun to sell 17,475,100 TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
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
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
Limited (SUPER) shares.Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further inspection has revealed that Khumsup took advantage of the material information, which had not been