each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take
approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged to make payment to the other party, or vice versa , in the amount which is
opinion of an independent specialist on the technology used in the infrastructure business (technological feasibility) if that technology has never been adopted in Thailand or is an advanced technology that
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged