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
deposit slip with the name of another client who was related to himself. The transferred money then paid for the related client?s trading transactions, subscriptions for on-the-counter securities, and
repeating the same mistakes, and concurrently obtained many of his client authorizations to make decision on behalf of them. The SEC therefore suspended him from duty as an approved securities market
Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ client’s asset ” means an asset deemed to be owned by a client as
Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992). “client’s asset” means an asset deemed to be owned by a client as
) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives prices as well as financial status, ability to deposit of margins and debt
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of