required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
notes or investment that such transaction is done by securities company for client’s benefit. In case where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits
derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of
Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28 November 2001 shall be required to prepare and file the reports for such transactions done prior to the
done without any ground to believe that its financial status may cause damage or any circumstance indicates an ongoing financial problem; (b) capability and readiness for operational function which shall
in such a way that the screening and selection of a service provider would be done without any ground to believe that its financial position may cause damage or having any circumstance that indicates
investment advice to clients. The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to