systems for data center such as CCTV, fire alarm systems, fire extinguisher or automatic fire suppressing system, uninterrupted power supply, temperature and humidity control systems as well as maintain
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
disciplines in accordance with such regulations as specified by the management company ; **(5) having the following efficient operating systems relating to being an agent for selling or receiving requisition of
; □ (3.9) System to ensure that the custodian agent can perform duties as designated in accordance with the Notification of the Office; □ (3.10) Other systems showing the readiness to undertaking the
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
otherwise, and shall include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of