Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
and Exchange; “Stock Exchange” means the Stock Exchange of Thailand according to the Law on Securities and Exchange; “beneficial owner of derivatives traded by a client” means: (1) an owner or co-owner
; “central securities depository” means any central securities depository according to the Law on Securities and Exchange; “Stock Exchange” means the Stock Exchange of Thailand according to the Law on
securities trading system and other relevant systems of the Stock Exchange. Meanwhile, an information technology system is necessary for securities clearing houses and central securities depositories to
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
Government Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed. (8) “Stock Exchange” means the Stock