registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
direct regulation of CRAs and may incorporate elements of the IOSCO CRA Code itself. Finally, the IOSCO CRA Code only addresses measures that CRAs should adopt to help ensure that the Principles are
asset such as customer’s information or information of investment units incorrect because of computer system assessment or modification by the unauthorised person”etc. (Translation) -4- Segregation of
and take precedence over the IOSCO CRA Code. These laws and regulations may include direct regulation of CRAs and may incorporate elements of the IOSCO CRA Code itself. Finally, the IOSCO CRA Code only
connection to the organization’s internal network systems; “use of mobile device” means the use of mobile devices in the operation to access the critical information system via direct connection to the
, Thailand Equity fund Mixed fund Alternative investment fund Country concentration**Foreign investment asset class (TB) **Based on foreign direct investment (unit trust not included) Foreign investment of