and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors. Chapter 2 Organizational Structure, Operation System, and Operational
market product s including [existing] clients of an intermediary ; “ institutional investor ”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission
[existing] clients of an intermediary; “institutional investor”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the Determination
Currently, there are no licensing regulation for digital asset custodial wallet providers in Thailand. Thus, a digital asset business operator who performs safekeeping of clients’ digital assets
liabilities of the securities clearing house or central securities depository, and its members and clients in cases where the business recovery fails. Chapter 4 Tiered Participation Arrangements in Securities
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
; (4) guidelines or procedures for administration of assets and liabilities of the derivatives clearing house, its members and clients in cases where the business recovery fails. Chapter 5 Tiered
personal data The SEC Office receives your personal data from: Information on relationships between different groups of persons from cases under investigation: The SET Group, securities companies, and