except for reselling or transferring made under the requirements of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
classification of units (if any); (3) a statement indicating whether or not the units are redeemable and if so, the rights, conditions and procedure of which shall be clearly specified; (4) the amount of the
law or investing in promissory note issued by a finance company or the TSFC Securities Limited, or other investment specified by the Office, which is clearly defined in such bank deposits or promissory
or the TSFC Securities Limited, or other investment specified by the Office, which is clearly defined in such bank deposits or promissory notes or investment that such transaction is done by securities
Bangkok, 25 July 2022 – The Securities and Exchange Commission (SEC) has uploaded an information filing form specifically for the Zipmex Thailand case where its clients are affected by the company’s
consultation by incorporating in-depth information on each client in order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment
order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment objective of each client. “investment analyst” means a person
19 The shareholding structure of an applicant, its subsidiary company and its associated company shall: (1) explicitly reflect both controlling power and interest of the shareholders; (2) have no