hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
client’s investment preference*. This approach aims to build investor confidence in private funds and supports the long-term development of the private fund industry. It also ensures that investors have
use of a client’s assets, fiat money and digital assets for the benefit of another client or any other persons shall be prohibited and clients’ assets shall be reconciled every business day to ensure
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin
the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on the next business day. In this regard, the