During March – April 2025, the SEC conducted a public hearing on draft regulations concerning requirements for business operators unable to maintain net capital, client asset safeguarding, and the
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...
The Office of Securities and Exchange Commission (SEC) is considering amendments to the laws administered by SEC in order to increase the efficiency of law enforcement. The Agency proposes to
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.