intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
Loans and Guarantee: Have the principal, staff or immediate family members made or accepted loans/guarantees to/from an audit client or its affiliates? (This includes through any connected entities) Has
Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the