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...
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
increased downside risks from external factors such as uncertainty in the U.S. economic policies may affect international trade, the slowdown of the Chinese and the EU economies and etc. According to the Bank
direction, MACO will only build, procure, install and maintain advertising media on the condition that PLANB will guarantee MACO a minimum return.** The three transactions above are interrelated
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.
Managing Director said: “We have improved our safety record in Q2 of 2019 after three lost time injuries in Q1 which results from a relentless focus from every employee. We will maintain this focus for the
economics’ slowdown is expected to continue in 2Q19 since the negative impacts remain unsolved. The global economic is expected to be pressured from an uncertainty of the USA-China Trade War. New government
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