. Meanwhile, the current regulations on such criteria has not yet covered risks associated with custody of clients’ assets for the digital asset business operators who can access into or transfer customers

for institutional clients. The institutional clients may, nevertheless, request to do the test for evaluation of their portfolio investments and transactions. The proposed rules and consultation paper

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your

personnel and its clients and between a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An

, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or its personnel and its clients and between

Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding

Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of

Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts

10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a