of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

สมาชิกสำนักหักบัญชีตกลงให้ TSD โอน-รับโอนหลักทรัพย์ผ่านบัญชีด้วยวิธีการโอนทางบัญชี (Book Entry) จากสมาชิกรายหนึ่งไปยังสมาชิกอีกรายหนึ่ง ซึ่งจะโอนหลักทรัพย์ตามรายงานข้อมูลการชำระราคาและส่งมอบหลักทรัพย์ของ

a license under Clause 3 shall be submitted together with the following evidentiary documentation: (1)( details of the work system for preparing, procesing, storing and reporting provision of services

, compiling, processing, storing and retrieving information related to obligation repayment and cautious delivery of the underlying goods (if any); (4) a system for custody of assets of service users by

systems, network, equipments and backing up and recovery of important data, whereby it is able to recover the latest data as specified from equipments or storing locations. 8.2.5 Readiness of alternative

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as

inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication