financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
to self-adjust in order to achieve respective goals, and subsquently strengthen market credibility, balanced market ecosystem, efficiency and competitiveness. Well-rounded perspectives and practicality
enforcement, for better understanding of stakeholders and target groups. Rulemaking is a tangible start for all parties involved in any particular matter to self-adjust in order to achieve respective goals, and
restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the
prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to
. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business
Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then
Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial
comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose the following orders: rectification of non-compliance operation, restriction of
Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41