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
possessed for a member” means: (1) assets that a derivatives clearing house receives from a member, whether it is owned by the member or its client, for use as collateral for derivatives trading; (2) assets
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
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and Section 98(3) of the
exchange(2) Digital asset broker(3) Digital asset dealer(4) Digital asset fund manager, providing client asset custody services(5) Digital asset advisory services, providing client asset custody services(6
accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint