Custody of Clients’ Assets by Securities Companies (No. 4)
Custody of Assets of Clients by Licensed Derivatives Brokers
Custody of Clients’ Assets by Securities Companies (Codified)
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
a special investor support team to ensure assistance and advice on withdrawal, receipt of returned assets or transfer of digital assets . The 24-hour https://www.sec.or.th/EN/Pages/News_Detail.aspx
team to ensure assistance and advice on withdrawal, receipt of returned assets or transfer of digital assets . The 24-hour https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7647 <