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...
institution established under specific law under Clause 4(1) (2) and (4) shall maintain its qualifications specified in Clause 5; (2) registered derivatives business operator who is a foreign juristic person
financial company, a securities company, or a financial institution established under specific law under Clause 4(1) (2) and (4) shall maintain its qualifications specified in Clause 5; (2) registered
financial institution established under specific law. ?Recently, bills of exchange have been actively used for fundraising not only from institutional investors but also from private individuals either
areas, namely: (1) the CMDF shall be established as a separate juristic person, not a government agency, and shall manage its operation independently from the SET, (2) an initial fund of 5.7 billion baht
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance