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
derivatives investment management, as the case may be. In this regard, the details of such outsourcing shall be specified clearly in the details of the fund scheme, or a client who is a provident fund or a
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
Chief Marshal Prajin Jantong the Commander-in-Chief of the Royal Thai Air Force, the deputy chief of the National Council for Peace and Order (NCPO). The infrastructure fund regulations have been in
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