Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered.   SEC

investors. This single form proposal would facilitate standardized filing of customer profiles and increase investors’ convenience. Based on the previous stakeholders consultation on the governing principles

already delivered all of such money to the customer within five working days from the date of receipt of such money. In case where the client informs the securities company to keep the money under (b) (c

customer within five working days from the date of receipt of such money. In case where the client informs the securities company to keep the money under (b) (c) or (d) for the benefit of future transaction

December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client

asset ” means an asset deemed to be owned by a client as https://publish.sec.or.th/nrs/6121pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent

provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client