business continuity management and plans;   - have a customer onboarding and Know Your Customer system (KYC) that are appropriate to evaluate product risks against characteristics of each customer

opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy

in the category of derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager

derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager” means any person who is

category of derivatives fund manager; “Customer” means any person who authorizes the derivatives fund manager to provide the services of derivatives fund management for them; “Investment manager” means any

Market Advisory Board violated section 113 of the Securities and Exchange Act B.E. 2535. Bualuang Securities used 3 accounts of asset management companies for the benefit of other customer. SEC Act S

Consolidated net loss for the period (Q1) amount -4.57 million compare with the same period (Q1) for the last year amount -2.80 because the Company Cost of Market Development of Expanding the customer base and

22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18

Know-Your-Customer (KYC) and Customer-Due-Diligence (CDD), and (7) providing suitability test for retail investors. The SEC also seeks public comments on shelf filing whereby a series of fundraising

strategies for the development and promotion of duties and self-discipline within securities companies – a critical responsibility for everyone, including the board and management, customer service, risk