control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as well as
in the following cases: (1) the public offering of the debt securities shall be in accordance with the criteria set out under Part 2; (2) the private placement of the debt securities shall be in
client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing
policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
Derivatived Act B.E 2546 33 03/07/2003 06/01/2004 2. Notification of Capital Market Supervisory Board TorThor. 84/2552 Custody of Assets of Clients by Licensed Derivatives Brokers (Codefied) 03/08/2009