at least once a month in order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to
order to verify the accuracy of the client’s asset account. For client’s assets that are not under its custody, the securities company shall set up a system to access an up-to-date information in order to
company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to access inside information of a securities
access inside information of a securities issuer and those who have an opportunity to make use of such inside information; (4) clear scope of authority, duty and responsibility of directors, executives and
, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the access to or amendment of such information by any unauthorized
access to or amendment of such information by any unauthorized person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is
Kingdom of Thailand, for supporting the management company to increasingly distribute investment units to investors and supporting investors to access more various investment channels, shall be conforming
units to investors and supporting investors to access more various investment channels, shall be conforming to the rules under Clause 6/1; (3) in case of investment units having been sold in a foreign