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
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.
regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there
any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there is no any
renovation fees : Remuneration based on the nature, difficulty level for such services, area size, materials selection, and the renovation expertise applied .../4 - 4 - - Construction expenses : Remuneration
, difficulty level for such services, area size, materials selection, and the renovation expertise applied .../4 - 4 - - Construction expenses : Expenses depending on the nature, difficulty level for such
points of the amendments are summarized accordingly: (1) Market Misconduct: categorizing the characteristics of misconduct to be clearer and applicable to wrongful acts of different natures, into four
, software, and man-day in services - Training fees : Fees depending on the expenses incurred during each training course - Design and renovation fees : Remuneration based on the nature, difficulty level for