routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
services to a client, and (2) ongoing form for investment transactions such as subscription, redemption and switching. For further details of the public hearing, please visit https://www.sec.or.th/TH/Pages
warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store their
นำโดย Mr. Paul Moody Global Partnerships and Client Solutions, CFA Institute และนายศรชัย สุเนต์ตา นายกสมาคมและผู้แทนสมาคม ซีเอฟเอ ไทยแลนด์ เพื่อแลกเปลี่ยนความคิดเห็นและหารือความร่วมมือต่าง ๆ ในอนาคต
similar manner as custody of digital assets; 2) Custody of fiat money and digital assets: the use of a client’s assets for the benefit of another client or other persons shall be prohibited and clients
decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the
programs for specific client industries? 15 Do the https://www.sec.or.th/TH/Documents/Auditor/QAQR-06.xlsx Excel_Tool_Thailand_Taxonomy_ENG.xlsx thresholds. The rationale of determining these specific
client assets and the system . The calculation is as follows : NCR = Liquid Assets (risk adjusted) - Total Liabilities General Liagilites + Margin Requirement In case of shortfall, the operator is
purpose of using digital assets as a means of payment for goods and services, etc.; (2) In the case where a digital asset business operator finds that a client uses the account opened for the purpose of