in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a collective total exceeding 40 percent of the total assets as per the

the shareholders’ equity. *** Position risk refers to the risk arising from changes in the prices of securities or underlying assets in a direction that results in potential loss for the business

Re: Investment in Fund’s Assets (No.14)

Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)

Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles

specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or

intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However