, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
benefit from greater range of market opportunities through a more diverse range of suppliers.This innovative approach has gained the endorsement of the Australian Government as a means of supporting
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
diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
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.
Bangkok, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
foster innovation and services, (3) Reducing development costs for small enterprises, (4) Integrating diverse services, and (5) Creating an accessible capital market for all. The event took place on 11
investors to invest in a diverse range of securities products. By requiring that all types of securities offering to high net worth investors be proceeded through intermediaries, the proposed revision would