) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a
https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board
CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification
-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc Section 96 of the following
a company in a client’s trading account by asking the client to sell the shares and transfer the redemption money into her own deposit account. She claimed that she would use the money to invest in
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying
. Furthermore, these licensed operators bear the responsibility for classifying investors and managing investments in accordance with the appropriate client’s category. The public consultation is available at
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the