The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with

trustee shall prepare the account of trust property of each trust separately. In doing so, the trustee shall keep such account correct and up-to-date. In managing a trust, a trustee shall segregate the

prepare and keep account of customer asset for each customer separately from the account of its own, in accordance with the rules specified in the notification of the Capital Market Supervisory Board. In

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

or documents given by a client, the intermediary shall review and update such information without delay by taking the following actions: (a) gather and recheck information in addition to the normal

Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock

receive professional publications that keep its personnel abreast of changes in accounting and auditing and any client industry specific pronouncements? If no, how you keep current with changes? 14 Discuss

as put in a sealed envelop. · The user who receiving the default password or receiving a new password should change the password instantly. · The user should keep the password secret. In case of

documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and