prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including
registration as a qualified fund supervisor, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws
, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws relating to financial businesses
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to
such legal entity to relevant personnel to cooperate with the SEC Office; (h) records on administrative sanction of the wrongdoer which, in case where the wrongdoer is a legal entity, shall include
ได ้มีระบบการบนัทึก และจดัเก็บหลกัฐานการเขา้ใชง้าน (“logs”) ซ่ึงรวมถึงการเรียกดูและการแกไ้ขขอ้มูล โดยแนวทางการจดัเก็บ logs เป็นไปตามท่ีก าหนดในประกาศแนวปฏิบติัวา่ดว้ยแนวปฏิบติัในการจดัใหมี้ระบบเทคโนโลย