of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and

. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the

} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client

(Newest) Date (Oldest) ’ digital assets under BX’s control or possession to other wallets which are not purported to keep client’s assets servicing clients who want to reclaim their assets and will lay off

SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc

The Securities and Exchange Commission (SEC), with the reports from the Krungthai Bank PLC and the SEC’s further investigation, found that in November 2021 Saowarat had misappropriated her client

the client is legally capable for executing legal acts with digital asset business operators, and review the KYC to ensure that the client’s information is updated and accurate when it appears that the