The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a

oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non-provident fund clients with the securities and assets of more than one million

an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the

Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock

as put in a sealed envelop. · The user who receiving the default password or receiving a new password should change the password instantly. · The user should keep the password secret. In case of