the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of

demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance with the rules specified in Clause 4

and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the

first paragraph shall comprise not more than 5 experts in money market or capital market, who shall not be the Secretary-General or staff of the SEC Office. Additionally, those experts shall be the

process according to the guideline to the SEC Office. The committee under Paragraph 1 shall comprise not more than 5 experts in money market or capital market, who shall not be the Secretary-General or

). Cash flows statement The items in the cash flow statement of the company shall be use the prescribed definition, as follow: Cash flow from operating activities means money arising from the main

or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes

guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles