complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
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
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the
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
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a