organization such as the group of companies, business unit, function, department, division or process. 10.5 The company conducts segregation of duties to the 3 parts as followed for check and balance purposes
service provider, the intermediary shall specify a measure for preventing conflicts of interest in accordance with Clause 7(3) which shall cover the segregation of operation and management arrangement
provider, the intermediary shall specify a measure for preventing conflicts of interest in accordance with Clause 7(3) which shall cover the segregation of operation and management arrangement, including
Issuance and Offering for Sale of Securities , mutatis mutandis. The segregation of clients’ assets by the securities company in accordance with the methods specified under Clause 18(1) (a) or (2) (a) shall
segregation of clients’ assets by the securities company in accordance with the methods specified under Clause 18(1) (a) or (2) (a) shall not be considered as an appointment of an agent to undertake custody of
security within the organization in order that operation cross- check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function
custodian ยกเว้นเฉพาะกรณี broker ซึ่งมีระบบ เก็บรักษาทรัพย์สินที่ถูกก ากับดูแลภายใต้หลักเกณฑ์ดูแล รักษาทรัพย์สินของลูกค้า (segregation of assets) ไม่ต้องขอความเห็นชอบเป็น custodian โดยให้แจ้งการเป็น self
security within the organization in order that operation cross-check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function