giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the https://publish.sec.or.th/nrs/5776pe.doc Section 4 instruments or evidence
documentation.doc matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes
Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=10361
margin loans and the loans to any particular client to ensure greater caution; (3) To establish a concentration ratio for the securities used as collateral by each customer, ensuring it does not exceed
business entity found to be related to the above executives as an intermediary for client payments. Such irregularities prevented the company from receiving full payments from end-customers according to
-time; and 5. Client Assets Protection: Legal provisions enabling the SEC to respond promptly in case of financial failures by market participants should be put in place. It should, however, be
participants to acquire the knowledge and skills necessary to incorporate ESG considerations into the investment decision-making process. By doing so, they will be able to better support client demand and
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint
ตำแหน่ง Business Development Manager Private Client Group Asia Pacific และ (4) นางสาวแก้วตา เฮงประชา ตำแหน่ง Onboarding & Service Associate Digital Sales Singapore ร่วมกันแสดงตนและเชิญชวนให้ผู้ลงทุนใน
) RegTech & SupTech: To deploy regulatory technology and supervisory technology (RegTech & SupTech) for supervision and data linkage. For example, to enable the use Electronic Know-Your-Client (E-KYC) through