of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc
an exemption to the case where the custodial services provided by digital asset issuers, which involves keeping only the issued digital asset on behalf of their clients, does not fall within the
At present, money market funds are used by investors as a tool to manage liquidity and a place to park money for a short time, besides keeping it in banking accounts. As of February 2018, the size of
succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal
keeping burden of custodians.
has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking business of precious metal derivatives brokerage ; (3