Custody of Clients’ Assets by Securities Companies (Codified)
media, it has been observed that the majority involve covertly using the SEC name and logo and the images of the SEC executives, relevant agencies and companies, and reputable individuals in the
asset ” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes https://publish.sec.or.th/nrs/3453pe.doc 7250pe.doc with the following criteria: (a) the fee rate
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order