evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the

record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of

laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures concerning reporting of suspicious transactions, which would

medium thereof shall be kept by the derivatives broker . (2) records of the details of transactions executed for its customers, confirmation statement, evidence of margin call, account of derivatives

system, list of names and telephone numbers of related persons including the preparation of necessary resources that may be used in the event of unusual situations. 4. Having revision and improvement of

Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or