correctly; (2) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at

and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

ผู้ช่วยเลขาธิการ (คุณรพีฯ) PAGE 2 แนวทางการกำกับดูแลการทำธุรกรรมด้านหลักทรัพย์ผ่านสื่อ on-line (ฉบับที่ 2) ด้วยปัจจุบันผู้ให้บริการด้านระบบคอมพิวเตอร์ (service providers)ได้เข้ามามีบทบาทสำคัญ ในการ

relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request

and in the manner which facilitates prompt inspection by the Office upon request. Clause 12 . This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์

maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities

), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards