. 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
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
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
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
systems. Subsequently, the company failed to meet the standards on work systems. For example, the systems for custody of client assets and Know Your Customer (KYC) were inconsistent with the standards
* Maintaining clients' assets in custody 25 million baht** Providing management services of Mutual Fund (MF), Private Fund (PF) Derivative Fund Manager (DF) to general investors 25 million baht Providing
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