. Controlling the compliance of user account and password. o Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption
the association related to securities business are in accordance with Section 234 of the Securities and Exchange Act B.E. 2535 (1992), and are not in contravention of the law nor impose a threat to the
infrastructure mutual fund under the consolidated basis of the financial statement. Clause 6 The management company shall impose the limitations on liabilities arising from loan agreement under the following rules
: 1. I/We am/are under supervision of Home Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which
arise from such action. Similar risk may arise if the investor has a derivatives position, whether in his/her name or in the name of other person, where the position exceed the amount impose by the
, where the position exceed the amount impose by the derivatives exchange, and the investor fails to close out the derivatives position as notified by the derivatives broker. 5. Risk from being unable to
to impose sanctions or to order the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
thereto, including the rules of the Commission issued under this Act, or professional standards, the Board may impose such disciplinary or remedial sanctions as it determines appropriate, subject to