controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts of the
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
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
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the