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

legal requirement on minimum face value of debentures may be too high and hinder retail investors to access debt markets, or the prohibition of set-off can cause unnecessary procedures and fees to issuer

less than 33 percent of the principal of the bond at the face value per unit as of the issuance date;        Agenda item 3: Consideration for approval of an amendment to the terms and conditions to allow

required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following disciplinary action

company or employee of the securities company. Clause 18.25 A securities company shall trade securities to conform to the instruction of the owner of the account and shall have a reliable system to verify

client to lose or be required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following

offering (PO) and private placement (PP); removing a minimum 10 million baht of face value in all cases and a minimum redemption value of 80% of principal in case of PP.  The revised regulations to become

of due diligence and know-your-client assessments (DD/KYC), (3) supporting electronic non-face-to-face identity verification, and (4) allowing businesses to access anonymized data under possession of

addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.

In face of the changing environment, such as technological development, volatility of the global financial and capital markets, impacts of the COVID-19 pandemic, and investors’ changing behaviors