Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch

Operation of Management Company Concerning with Such Acts Clause 5. The following operations of management company are the acts that may create conflict of interest to unitholders or the clients which

Interest And Operation of Management Company Concerning with Such Acts Clause 5. The following operations of management company are the acts that may create conflict of interest to unitholders or the clients

Clause 5. The following operations of management company are the acts that may create conflict of interest to unitholders or the clients which prohibited under section 126(1) and section 139(5), as the

securities companies. In receiving these orders, Thai securities companies may not have complete information on the clients of the foreign securities companies and their trading behaviors. Therefore, it is

Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is

intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had

. Meanwhile, the current regulations on such criteria has not yet covered risks associated with custody of clients’ assets for the digital asset business operators who can access into or transfer customers

for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper

Exchange Act B.E. 2535 (1992) (SEA) and the imposition of the statute of limitations for criminal cases on civil lawsuits in order to enforce civil sanctions under Section 317/13 of the SEA are not contrary