level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete and accurate information in
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
Providing Guarantee for Insured Mutual Fund by Securities Company in the Category of Securities Finance Business (No. 2)
letter of credit or a letter of guarantee. 23 The securities company shall count in the value of assets additionally received from the client as collateral for debt repayment in a margin account for the
to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
Loans and Guarantee: Have the principal, staff or immediate family members made or accepted loans/guarantees to/from an audit client or its affiliates? (This includes through any connected entities) Has
: Does any principal, staff or immediate family members act as a trustee which holds - directly or indirectly- any financial interests in an audit client or its affiliates? 3 Loans and Guarantee: Have the