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

offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an

information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples

reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity

custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b

have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign

keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the

its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance

DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...

against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and