country, international organizations, or recipients abroad, the SEC Office shall ensure that the destination agencies have sufficient security standards for personal data protection. 4. Retention and
complies with appropriate security measures, for example, ISO27001 standards or NIST, etc. In case of any cross-border data transfer to another country, international organizations, or recipients abroad, the
securities company shall provide information or evidentiary documentation related to verification of identity of its clients , the ultimate beneficiaries for the securities trading of the clients and the
related to verification of identity of its clients, the ultimate beneficiaries for the securities trading of the clients and the controlling persons of the securities trading of the clients, and shall
referable source; (2) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3
safekeeping advance money based on the nature of transactions. Real-time or same-day funds transfer service: If such transactions cannot be processed for recipients or other electronic funds transfer service
house or the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficiaries of derivatives contracts, both directly and indirectly; (b) the purposes of
to the rules as specified by the exchange, the clearing house or the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficiaries of derivatives contracts
ถือหลัก ทรัพยขึ้นอยูกับกระแสรายรับที่เกิดจากสินทรัพยที่รับโอน มา ผูรับอื่น (eventual recipients) หมายถึง ผูรับรายหนึ่งหรือหลายรายตามขอตกลงที่กําหนดไวใน โครงการแปลงสินทรัพยเปนหลักทรัพย เชน ผู