Bangkok--9 May--SEC
The SEC is seeking public comment on proposed revision to the announcement of capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers and underwriters whose licenses are limited to investment units (LBDU operators). Under the proposed revision, business operators will have to comply with the capital requirements rules to reflect more appropriate operational risk and resilient of asset categories for capital requirements including the regulations in case that business operator cannot maintain mandatory capital requirements.
The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at 0-2695-9930 or email address at
[email protected] until May 20, 2014.