provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
after altering or maintenance. [M] · Providing compliance guideline for operate the software such as personal firewall, password cracker etc. and consistently inspect the operation of software utility. [M
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management