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...
Board by failing to perform its duties with due care and preserve the interest of the debenture holders as would reasonably be expected of similar professionals. SEC Act S.46 Settlement Committee
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
. Additionally, this event aimed to promote public-mindedness and community service through the conservation of nature and the environment. It also sought to rehabilitate and preserve mangrove forests as
the investment 3 limit specified in the rules issued by virtue of the Securities and Exchange Act B.E. 2535 (1992): (2) provision that the management company shall prepare an account and separate the
of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve
. The Smart Office uses less paper to preserve natural resources. This not only streamlines working procedures, both ours and stakeholders?, but also expedites service provision and enhances overall
5G coverage as device penetration grows. Maintain profitability with well-manage cost control To ensure healthy cash flow and preserve profitability amidst uncertainty in 2021, AIS’ approach to