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
capital and putting in place measures to appropriately address cybersecurity issues. The approved operator must also conduct Know-Your-Customer (KYC) and Customer-Due-Diligence (CDD) and set up preventive
Business Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process CG Thailand Public Hearing Laws/Regulations Search
Business Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process CG Thailand Public Hearing Laws/Regulations Search