Bangkok, 9 October 2017 ? The SEC and the Legal Execution Department (LED) have signed two memoranda of agreement (MOA) for mutual cooperation and information sharing, at the SEC Building today.The
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
principle, which contain the following essences: 1. revising the PVD Act to address the growing demand for pooled funds: Employers and employees shall have a mutual agreement that allows employees
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a contract or an agreement in