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...
Company dated 4 January 2000 shall be repealed and replaced by the following texts: “ Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not
Company dated 4 January 2000 shall be repealed and replaced by the following texts: “Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not less
2000 shall be repealed and replaced by the following texts: “Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not less than five years. In
may, if appropriate, promulgate the notification https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc Translation administer directors including deputy managers, assistant
Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a https://publish.sec.or.th/nrs/5644pe.doc Translation administer directors including deputy managers
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year
application, if it appears that the applicant can not maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial
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.