best interests of clients; (2) the derivatives broker shall give equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from
Derivatives Business Overseas for Derivatives Brokers (No.2) dated 12 May 2012 Clause 5. When derivatives broker receives customer’s order to trade derivatives on foreign derivatives exchange, derivatives
hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
client’s investment preference*. This approach aims to build investor confidence in private funds and supports the long-term development of the private fund industry. It also ensures that investors have
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed