Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
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- Banking - Digital Assets https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx securities-ITchecklist.xlsx security) (2) การบริหารจัดการบุคลากร และบุคคลภายนอก (3) การบริหารจัดการทรัพย์สินด้าน IT (IT asset