and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered. SEC
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
accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint
exchange(2) Digital asset broker(3) Digital asset dealer(4) Digital asset fund manager, providing client asset custody services(5) Digital asset advisory services, providing client asset custody services(6