liabilities and risk haircuts – to ensure that there are sufficient liquid assets to absorb losses, maintain stable financial status and, in the event of insolvency, prevent damage to client assets and the
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
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
receive professional publications that keep its personnel abreast of changes in accounting and auditing and any client industry specific pronouncements? If no, how you keep current with changes? 14 Discuss
has been executed, the private fund management company shall disclose the following information to its client: (1) Assessments of performance results of the private fund; (2) The name of the
has been executed, the private fund management company shall disclose the following information to its client: (1) Assessments of performance results of the private fund; (2) The name of the