) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
of the total shares with voting right; (o) a foreign investor of the same characteristics as those under (a) to (n) mutatis mutandis; (5) “retail client” means a client other than institutional clients
operating result – Relative to last year quarter’s, Loss Ratio had dropped by 8.64% (From 67.87% to 59.23%). Underwriting had been more selective. Sales associated with high risk clients had been monitored
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
bondholders’ representatives to have paid-up registered capital at a minimum of 25 million baht, comparable to securities companies that maintain clients' assets in custody. Moreover, funding portals who act
assessing clients’ information; (3) Post-trading service providers, i.e., securities clearing house, securities depository centre, securities registrar, and the newly added derivatives clearing house; (4
major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty
diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide