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
period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management
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.
not able to satisfy the condition precedent. Moreover, the Project is exposed to legal risks on the issues of building modification; uncertainty of lease contract between IMP and the Office of the Privy
higher than the minimum price as appraised by IFA if EMC is not able to satisfy the condition precedent. Moreover, the Project is exposed to legal risks on the issues of building modification; uncertainty
company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund
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