assets – to apply for an exemption of business restrictions specifically for securities and derivatives businesses, on the condition that they can demonstrate sufficient liquidity to continue normal

in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a collective total exceeding 40 percent of the total assets as per the

specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or

price changes of instruments or underlying assets in a way that causing potential loss to business operators. This happens when the operators take positions (either long or short) in these securities

intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had

the shareholders’ equity. *** Position risk refers to the risk arising from changes in the prices of securities or underlying assets in a direction that results in potential loss for the business

listed securities as same as institutional investors, in addition to the current eligible assets which are government bonds and investment-grade debentures only. (2)  SEC will consider the

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further

SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai