Currently, there are no licensing regulation for digital asset custodial wallet providers in Thailand. Thus, a digital asset business operator who performs safekeeping of clients’ digital assets
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
) (“the Emergency Decree”), has a financial condition that may cause damage to clients and a management structure and personnel that are deemed inappropriate and insufficient for efficient and responsible
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders
reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and