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
the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk
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
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign
กฎหมายฟอกเงิน ไม่ว่าจะเป็นกฎหมายไทยหรือ กฎหมายต่างประเทศ (2) รายชื่อบุคคลที่มีสถานะหรือมีความสัมพันธ์เกี่ยวข้องกับการเมือง (politically exposed persons หรือ PEPs) หรือบุคคลที่มีความเกี่ยวข้องกับบุคคลดัง