licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
กันความเสียหายจากการถูกแกไข ขอมูล (Modification) เชน การถูกแกไขจํ านวนหุน หรือราคาหุนของลูกคาระหวางทางที่กํ าลังสงขอมูล ผานเครือขายไปยังบริษัทหลักทรัพย การแกไขขอมูลของลูกคาในฐานขอมูลโดย
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
shortcomings could potentially lead to money laundering and the financing of terrorism. Additionally, the company has deficiencies in the system for safeguarding client assets denominated in Thai baht, non
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
appropriate, if it receives 10 percent or more of its annual revenue from a single client (e.g., a rated entity, obligor, originator, lead underwriter, arranger, or subscriber, or any of their affiliates). 2.9
modification of some on-going projects as required by customers. 3. The Group’s selling and administrative expenses for the 2nd quarter of 2017 and 2016 were Baht 28.07 million and Baht 25.72 million
SEC regarding the revision and modification of mutual fund projects. SEC may approve the revision of a project if the revision does not have material impact on the unitholders and does not