Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33
of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2
Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration
operators that hold customer assets and 5 million baht for business operators that do not hold customer assets; (b) The capital from digital asset operation : NC charge of clients’ assets stored in hot
Custody of Customer Assets of Licensed Derivatives Broker 22/12/2004 16/01/2005 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900
related business (Section 22) Other related business Licensing / Registered Capital / Fees Business Conduct Securities Lending / Credit Balance (Section 102) Protection of Customer Assets (Section 98(3