Earlier, the SEC conducted a public hearing on the principles for revising the rules on the maintenance of net capital adequacy for business operators in the part related to the use of subordinated

Maintenance of Capital of Investment Advisors and Derivatives Advisors

Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange

Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange

determines that FA independence will be impaired in cases where FA or commercial bank in the same conglomerate has granted a loan to any securities issuer or sponsor disposing asset into real estate investment

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund

ในครั้งนี้ กำหนดให้ FA ขาดความเป็นอิสระ หาก FA หรือธนาคารพาณิชย์ที่เป็นบริษัทในกลุ่มเดียวกันให้กู้ยืมแก่ผู้ที่ออกและเสนอขายหลักทรัพย์ (issuer) หรือ sponsor ซึ่งเป็นผู้จำหน่ายทรัพย์สินเข้ากอง REIT หรือ

Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and