its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 15 An
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the
channel of any government bond or bond guaranteed for principal and interest by the Ministry of Finance and redempted by holders with specific or minimum price determined as of the issuing date does not
important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering
functions in accordance with the defined access rights; (b) control access to information systems and applications by a secured log-on procedure; (c) establish password management systems to ensure security