custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
the structured notes in any subsequent level to any other persons who are not institutional investors and/or high net worth investors 16. Guarantee/collateral: Specify yes/no. If “yes”, disclose the
per annum, with the promise that the company would repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expired. At the time of the inspection
, and (2) investing in low-risk, high-liquidity instruments, e.g., treasury bills, government bonds, state enterprise bonds, Bank of Thailand bonds, and debt instruments avaled or full guaranteed by the
problem of purchasing power and incomes which have not yet recovered. Furthermore the liability stayed in high level and this was slightly speeded up the consumption. Therefore, it affected the expense
of fast-changing cyber threats that are always becoming more diverse and more complicated. Reinforcing a cyber risk-aware culture that involves the Board of Directors and high-level management
capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of
level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to
Regulatory Authority (ACRA), and Thailand's Securities and Exchange Commission. The progress towards this goal will be monitored and measured at a national level by the respective AARG members on an ongoing