assets in accordance with the Derivatives Act B.E. 2546 (2003) to ensure clearer protection of customer assets. The main focuses of the proposed regulations are as follows: 1. Where a
Your Customer (KYC) and Customer Due Diligence (CDD) procedures in accordance with the standards set by the AMLO and other relevant authorities. These procedures apply to both DA business operators and e
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer
22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
e-service Online Submission See canceled document Derivatives Agent >> Protection of Customer Assets (Section 33) Type Title Section See Document Status Notified Date Effective Date 1. Act The