failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures
. Operators of derivatives business wishing to apply for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business
หลักทรัพย์ที่เป็นหน่วยลงทุน (Limited Broker Dealer Underwriter - LBDU) ท่ีเป็นสมาชิกตลาดหลักทรัพย์แห่งประเทศไทย ส านักงานคณะกรรมการก ากับหลักทรัพย์และตลาดหลักทรัพย์ (http://www.sec.or.th) อาคารจีพีเอฟ
LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2015-5999 Fax.0-2263-0760, 0-2263-0744 List of company licensed Inter-Dealer Broker (Securities Company) Company Head office 1 AFS SECURITIES (THAILAND) CO.,LTD