the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
Form 69 - CIS annually update (ประกาศ ทจ. 4/2561)
Form 69 - CIS material update (ประกาศ ทจ. 4/2561)
prepare and submit a monthly report of aggregated data and update the system each time the reporting forms are revised. The proposed amendment involves submitting granular data with specified details and
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the
owner in writing. Clause 26 The derivatives broker shall prepare and update records of derivatives trading transactions of each client. In this regard, the records of derivatives trading transactions