exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
Access Control Objective: To limit access to information and the information processing facilities . Provisions in the Notification No. Sor Thor. 37/2559 Clause 8 An intermediary shall establish a
entity’s networks; (4) policy on access control on information and information processing facilities in line with IT security requirements; (5) policy on the use of IT outsourcing which covers selection and
, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
aspect, such as, strike of employees or inaccessibility to building or facilities in areas. 9.2 Human resource aspect, such as, loss of executives or a key personnel or lack of personnel in large number
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
ถึงข้อมูลและสิ่งอำนวยความสะดวกในการประมวลผลข้อมูลต่าง ๆ (information processing facilities) ให้สอดคล้องกับข้อกำหนดด้านการรักษาความมั่นคงปลอดภัยของระบบสารสนเทศ (5) นโยบายเพื่อรองรับในกรณีที่ผู้ประกอบ
included in the private fund management agreement. 3.3.3 Acquiring and Delivering of assets of the fund Objective A management company shall have a clear rule of practices concerning the acquiring and