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
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
upon request. Chapter 3 Custody of Clients’ Assets Clause 17 A securities company shall segregate assets under its custody as assets of clients in not less than the following amount: (1) Money: the
information in networks; (2) arrange network services agreements (including service levels, management requirements, and security mechanisms of all network services) with vendors; (3) segregate network domains
verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from
underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter
executive to be the accountable person in complying with Clause10 (1) and (2); 2. In complying with Clause 10 (2), the intermediary should clearly segregate duties of operations relating to information
prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and
- organization chart - รายชื่อและตำแหน่งผู้บริหารสอดคล้องกับ organization chart หรือไม่ - กรณีเป็น holding company ได้ระบุข้อมูลผู้บริหารของ บริษัทย่อยที่ประกอบธุรกิจหลัก - รายชื่อและตำแหน่งของผู้บริหาร