Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles and
agricultural futures business, with price settlement and contract delivery obligations; (2) fifty million baht for undertaking of agricultural futures business with price settlement and contract delivery
the following matters: (1) Receipt or delivery of client’s assets; (2) Record of the particulars of client’s assets; (3) Management of client’s assets information. Clause 7. For the custody of client’s
security within the organization in order that operation cross- check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function
practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets; (2) keeping of records of clients’ assets; (3) management of information
(Benefit Delivery) และการใช้ทรัพยากรสารสนเทศให้ได้ประโยชน์สูงสุด (Resource Optimization