the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
such as information structure document, operational manual, name list account of user, functional program and program specification etc. and keep such document in the safe place and simply use. [M
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment
all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except
list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF . “ exchanging in-kind ” means entering into the following transactions with a management
than the report as specified under the first paragraph, in case the offeror has seperated some shares specifically allocated to the patron , the offeror shall prepare a name list of 200 persons receiving
association which certified by the Ministry of Commerce; □ (4) The copy of shareholder list of company which certified by the company-partnership registrar of the Ministry of Commerce; □ (5) Map of company
, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with
should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which