_____________________________________________________________________ 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
. 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
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
) 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
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