_____________________________________________________________________ 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
compliance of user account and password. · Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption etc. and
administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
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 may arisen from conducting business to be
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
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 may cause damages to the interest of the investors
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 derivatives exchange
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
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer