warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store their

similar manner as custody of digital assets;  2)  Custody of fiat money and digital assets: the use of a client’s assets for the benefit of another client or other persons shall be prohibited and clients

. Drafting single form is based on the principle of gathering necessary and sufficient information to ensure provision of appropriate services in compliance with the law, and to provide ease of filing for

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators  through the use of principle-based regulations due to the fact that business

decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is

admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed.  {A} also admitted

will remain subject to the defined criteria.For outsourcing activities directly relevant to their core businesses, such as management information technology and client registrar, the business operators

routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading