. monitoring · Monitoring the importance operation system effectiveness to consistently and efficiently functions such as transmission system for securities trading, connection between company and Securities
limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque
Exchange Commission No. SorThor/Nor. 19/2550 Re: Application Form for Approval of Agricultural Futures Trading Business by Operators of Derivatives Business _____________ By virtue of the second paragraph of
capital market. Clause 4 The procedure for operation and the internal control system of the securities trading center under Clause 2(4) (c) shall be in compliance with the following rules: (1) having a
encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced
regulations. Clause 5 An approved person for the operation under a regulatory sandbox in the same manner as a derivatives exchange shall arrange an efficient and fair trading system which shall additionally
. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
policies and rules for investment including policies and measures in controlling and managing risks from derivatives trading and operational management, a system to prevent conflicts of interest and leaking