Bangkok, November 12, 2015 ? The SEC is seeking public comments on a draft amendment to the rules on calculation and reporting of net liquid capital to better reflect the asset values and the
Bangkok, July 22, 2015 ? The SEC is seeking public comment on revisions of rules for calculation and report of net liquid capital calculation. The proposed revisions aim to ensure that the
Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However
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The SEC has recently issued a rule revising the definitions of institutional investor, ultra-high net worth investor and high net worth investor* used for investment in financial products under
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