licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and Section 98(3) of the
keep complete records of a number of securities trading orders. He also admitted that he received the trading orders from the client via Line Application and mobile phone.Making trading decision on
provident funds 2.1 Disclosure of Information After a private fund management agreement has been executed, the private fund management company shall disclose the following information to its client: (1
. Execution of Agreements for Management of Private funds or Provident Funds 1.1 Provisions for the management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a