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...
each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its
of good corporate governance (CG). After listing, the supervisory mechanism will ensure that listed companies maintain their quality, operate business with integrity, have an internal control system
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
SEC’s consideration of approval. SEC Oversight of Securities Short Selling (Published on 17 November 2023 (Thai version)) The SEC has continuously monitored the SET’s operations, including the possibility
/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
Regulatory Authority (ACRA), and Thailand's Securities and Exchange Commission. The progress towards this goal will be monitored and measured at a national level by the respective AARG members on an ongoing
disruption, capital market regulators in ASEAN including the SEC further emphasize the need to promote and support ASEAN listed companies to enhance and maintain the quality of their corporate governance
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
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.