laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
establishment of Thai Feeder Funds and Hong Kong Feeder Funds [ effective upon the signing of HK-TH MRF MoU] The SEC agreed to expedite the approval process of a Thai Feeder Fund investing in a Hong Kong Master
disruption of critical function occurs, intermediaries shall report to the SEC the cause leading to such disruption together with relevant details at the earliest time but no later than the next business day
(1) without delay. Clause 10. In the event that a major operational disruption occurs, a securities company shall report to the Office the cause leading to such disruption together with relevant
process as necessary. Chapter 2 Criteria for Approval to Use Back Office Service Clause 5 Except as specified in Clause 7, derivatives broker can use back office service from service provider that has
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1