as sub-custodian however, in such cases, the foreign custodian must meet the qualifications required for entities permitted to custody digital assets for digital asset business operators under the SEC
its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your
personnel and its clients and between a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An
, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or its personnel and its clients and between
characteristics; (3) having any improper behavior which, if considered on a reasonable ground, materially affected clients, investors, company or shareholders, or money market or capital market as a whole, in a
Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding
Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of
construction materials and the risen of wages; and (2) The Company has been unable to obtain the financial support from financial institutions since 2015 due to major legal cases derived from the negative impact
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for operating fund supervisor business, at least