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

real-life environment with real customers while complying with the regulations and conditions suitable for the experimenting period, for example, the requirement for standard systems and the maximum

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

Thai capital market.?Adopting the global trend of ethical and responsible investment management and protection of clients? interest, the I Code consists of seven principles, two of which have already

investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form

investment loss must be provided and records on giving advices to clients must be kept.