6. A securities company shall keep records and prepare reports on short sale in accordance with rules prescribed by a Notification of the Office. Clause 7. This Notification shall come into force as
person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is maintained and updated, and shall keep reports or articles on
according to portfolio advisory or investment strategy of program trading shall comply with Division 2. Clause 41/2 An intermediary shall keep information and evidence on providing services under this Chapter
notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the
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
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management
person realise the essential of security of the information technology thoroughly had known the duties and responsibilities and guideline on controlling the various risk which have a content covering the
Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the