shall proceed or arrange its client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified
prescribed in Clause 6, Clause 7 and Clause 8. Clause 6 A securities company engaging in short selling shall proceed or arrange its client to comply with the following rules in order to deliver ETF units or
providing services to a client, an intermediary shall proceed as follows: (1) supervise the personnel to provide portfolio advisory or investment strategy of program trading in consistent with the assessment
the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and providing services to a client, an intermediary shall proceed as follows: 19 (1
securities company approves to lend money for purchasing securities or lend securities for making a short sale to any person, it shall proceed as follows: (1) determine a maximum limit at which a client may be
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...