CPD) 2020 • The Impacts of COVID-19 on the Auditor's Performance • The Use of Data Analytics Techniques in Audits • Common Issues from Audit Inspection • Panel Discussion on the Preparation of
of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2
Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client
legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC/CDD) (4
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
interesting growth direction of business. In the 1 st quarter of 2017, the Company enabled to sell the beverage dispenser (Celli counter beverage dispenser) to a client in CLMV. The Company also organized the
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who