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
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
Cryptographic Control; 2.7 Physical and Environmental Security; 2.8 Operations Security; 2.9 Communications Security; 2.10 System Acquisition, Development and Maintenance; 2.11 IT Outsourcing; 2.12 Information
interest of the shareholder or the value of share (Shareholders’ value) (b) Acquisition and disposition of material assets, purchase, sale, or lease of business, business merger and acquisition, hired for
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
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
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
. conducted not more than one year prior to the acquisition of the said asset; 2. if the value of the asset is more than fifty million baht, the appraisal shall be conducted by at least one appraiser; 3. if the
จำนวนและราคาหลักทรัพย์ ไว้ในวงเล็บ) In case of a same-day acquisition and disposition of securities and derivatives, the total amounts and the weighted average prices thereof shall be reported separately