with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non-provident fund clients with the securities and assets of more than one million
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
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
loan, a return of the loan, a deposit of collateral or a return of collateral; (4) keep data and prepare report related to the borrowing and lending of securities in accordance with the rules as notified
mutual fund with the Office; (6) transferring ownership of any remaining assets to the Office; (7) undertaking any other actions as deemed necessary for the completion of the liquidation; The liquidator
trustee shall prepare the account of trust property of each trust separately. In doing so, the trustee shall keep such account correct and up-to-date. In managing a trust, a trustee shall segregate the
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
prepare and keep account of customer asset for each customer separately from the account of its own, in accordance with the rules specified in the notification of the Capital Market Supervisory Board. In