explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the marking to market
. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed without delay
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a
least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that
cash or other assets from the derivatives broker upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office. “ qualified liabilities ” mean: (1) liabilities
contingent liabilities which require payment by cash or other assets from the securities company upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office
of each class of units, if there is a classification of units. 3If there is more than one person to sell, transfer, lease or grant the rights in the infrastructure asset to the fund, the rate specified
Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange
fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that