company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
client confirms the transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose
: _________________________________________________ 11) Home Economy of CIS Operator: _________________________________________ 12) Home Regulator of CIS Operator: ________________________________________ 13) Address of principal place of business
. In this regard, if such insistence taking place off the working hours of the intermediary , it shall be deemed that the intermediary has received the insistence on such transaction on the following
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
taking place off the working hours of the intermediary, it shall be deemed that the intermediary has received the insistence on such transaction on the following business day; (2) it shall be deemed that