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...
would not only improve the efficiency of debt offering supervision but also lighten the loads of debt issuers and maintain appropriate protection for investors. For such proposes, the SEC Office is
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
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.
able to maintain sales at same level of previous year mainly from sales of two new outlet branches i.e. Rayong and Diana branch which was still achieve the target. In addition, the Company arranged more
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
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
focusing on house brand products to emphasize FN brand awareness and increase FN brand equity in a long run. The Company was able to maintain house brand product proportionate in 3Q18 compared with 3Q17 and
business, both of which concern unfair securities trading practices or cheating, fraudulent or dishonest business operation or money laundering control and suppression, regardless of whether it is Thai or