securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front- office function) should be clearly separated from the unit which has duties in
operator under Section 33; (d) over-collateralized portion of asset placed by the customer with a derivatives business operator as collateral for a loan granted for derivatives trading; (e) securities or any
operator under Section 33; (d) over-collateralized portion of asset placed by the customer with a derivatives business operator as collateral for a loan granted for derivatives trading; (e) securities or any
, maintenance of data security systems, and risk management against cyber crime. The approved operator must also conduct Know-Your-Customer (KYC) and Customer-Due-Diligence (CDD) and set up preventive measures
Know-Your-Customer (KYC) and Customer-Due-Diligence (CDD) and set up preventive measures against money laundering. Existing operators which have been undertaking digital asset businesses prior to the
Offering of Funds Digital Asset Business Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process CG Thailand Public
diverging monetary policies, businesses may have to contend with Thai Baht volatility and rising interest rate trends. Given the changing customer behavior amid new technologies, regulatory changes and
: Permission for the Management Company to Take Purchasing Order or Selling Order of Investment Unit of Mutual Fund from Customer Outside the Place of Business of the Investment Management Company, dated 21