Earlier, the SEC conducted a public hearing on the proposed principles and draft regulations to support digital asset custodial wallet providers from business groups with expertise, experience, and readiness for directly safeguarding financial assets, which enables digital asset custodial wallet providers to service digital asset business operators with the same major shareholders. Meanwhile, the existing regulations require that digital asset custodial wallet providers must be listed com...
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...
important government’s initiative as it would give investors a greater variety of investment choices via mutual fund while simultaneously benefiting from tax privileges starting from the 2023 tax year
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
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
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
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.