reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and
reference. Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and
. The total granted rectification period lasted for five months and 12 days. The key work systems for business operation that the company failed to rectify were the trading system, the asset custody
derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure https://publish.sec.or.th/nrs/4642pe.doc 5644pe.doc
Exchange Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the derivatives fund
. Meanwhile, the current regulations on such criteria has not yet covered risks associated with custody of clients’ assets for the digital asset business operators who can access into or transfer customers
custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the
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