following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
Derivatived Act B.E 2546 33 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board TorThor. 84/2552 Custody of Assets of Clients by Licensed Derivatives Brokers (Codefied) 03/08/2009
companies generally offer private funds in the form of a standard portfolio. This business model provides clients with a selection of pre-defined investment portfolios without being customized to each
)** requirement for assets held in hot wallets and cold wallets to align with the proportions and sources of digital asset custody for clients. Additionally, there would be NC requirement for digital asset trading
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC
must make a prior agreement with the clients the asset allocation or the investment planning services and parameters set in advance which are based on house view. In addition, the intermediaries must
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives