; (15) any other person specified by the Bank of Thailand as having a permission to invest in outbound products , as prescribed by the SEC Office. Clause 14 3 In providing services to a client who is a
specified by the Bank of Thailand as having a permission to invest in outbound products, as prescribed by the SEC Office. 7 Clause 143 In providing services to a client who is a juristic person incorporated
service personnel by a major client, due to COVID 19, and is expected to recover in the near future. This client has recently listed our company in their formal vendor registry, plus we have added new major
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