Notification of the Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other

segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in private company bond which violated section 98(3) of the Securities and

. The new digital platform also covers clearing and settlement, register of instrument holders, custody of instruments, and payment of interest or dividends.“The pilot project will be conducted on

. For example, data storage system, management system and custody of client assets. This is to promote flexibility in business operation while ensuring that supervisory guidelines are appropriate and

major areas, namely (1) improvement of business operation in such areas as data storage system, management system, custody of clients’ assets and sale promotion advertising, (2) reporting of duty

are suspected of having committed an offense as specified by law. ?Under the relaxed rules, the securities companies which do business only with institutional clients or do not have custody of their

asset custody, information disclosure, and undertaking of other businesses in contravention of the governing laws and regulations, etc. We also considered other related matters, including the cases where

คณะกรรมการ ก.ล.ต. มีมติเห็นชอบให้ศึกษาโครงการการนำหลักทรัพย์ต่างประเทศมาจดทะเบียนซื้อขายในตลาดหลักทรัพย์แห่งประเทศไทยในรูปแบบใบรับฝากหลักทรัพย์ที่เปลี่ยนมือได้ (Transferable Custody Receipt: TCR) โดย

approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person

with the Office, whose main objective is to promote and develop securities business in the category of asset management; 1“Custody agent” means any person whom a registered person appoints as an agent to