Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order

Prevention and Development Division and Market Intermediaries Division.         1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate

Bangkok, 8 December 2023 – The Securities and Exchange Commission (SEC) has announced the appointment of the Deputy Secretary-General in charge of Corporate Communication Division to serve as the SEC

funds; (3) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

organization such as the group of companies, business unit, function, department, division or process. 10.5 The company conducts segregation of duties to the 3 parts as followed for check and balance purposes

responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the

Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the infrastructure risk. Compliance Guideline o Segregating l the

147) |-    Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays