hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
client’s investment preference*. This approach aims to build investor confidence in private funds and supports the long-term development of the private fund industry. It also ensures that investors have
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
the number of a buyer’s remaining investment units is lower than the number of investment units to be reduced, the mutual fund management company shall make a payment out of its own funds in an amount
Service in the 2nd quarter of 2015 is THB 11.42 million which has decreased by THB 23.06 million or 66.88% from the 2nd quarter of 2014 was THB 34.48 million. This is due to declined in buyer’s demand which
A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin
the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on the next business day. In this regard, the