verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1)4 money; the amount of money for each day shall
ปรับปรุงอย่างไร 4.6 การรักษาความปลอดภัยของข้อมูลลูกค้า (อธิบาย) นโยบายการรักษาความปลอดภัยของข้อมูล 4.7 รูปแบบการให้บริการ · Segregate account · Omnibus account 4.8 หลักเกณฑ์ในการทำ cold call/do not call list
: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from
subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from the date on which the securities underwriter collects
. In making securities underwriting, a securities underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money
underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter
into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from the date on which the securities
executive to be the accountable person in complying with Clause10 (1) and (2); 2. In complying with Clause 10 (2), the intermediary should clearly segregate duties of operations relating to information