/News_Detail.aspx?SECID=7877 SEC public hearing on draft regulations regarding information disclosure and risk warnings to clients of digital asset business operators warnings regarding client asset keeping on their
client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client; (3) In the case of {C https://www.sec.or.th
(Client Account) ตามที่ทางศูนย์รับฝากกำหนด การทำธุรกรรมต่างๆ จะแยกเป็นธุรกรรมของสมาชิก หรือ ลูกค้าของสมาชิก นับแต่การซื้อขายหลักทรัพย์ จนถึงการส่งมอบหลักทรัพย์ โดยจะต้องระบุในคำสั่งซื้อขายหลักทรัพย์ และ
, Conditions and Procedures for Handling Client Assets Held in Custody by Custodians (No. 7); (11) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 45/2567 Re: Consideration for
securities trading, for example, client investment limits, consideration of collateral quality, and prohibition of Non-Voting Depositary Receipt (NVDR) investment by Thai entities. The SEC has also
where the company may be liable to an offense related to client assets, which may cause damage to the clients, pursuant to the resolution of the SEC Board. Zipmex submitted clarifications on the matters
that they are truly used by the banks in charge to confirm unit subscription. In case of doubts, investors should contact the banks’ client service center or call SEC 24-Hour Public Service Center
) Elevating the e-KYC standard, which SEC would issue a guideline for the licensed entity to introduce the technology in getting to know the clients, to strengthen the assurance on their Know Your Client
the product and receive sufficient information before making investment decision. Intermediaries must comply with know your customer/client due diligent rule and request investors to take suitability
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s