) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market
and shall provide a measure on prevention of danger from the environment or any disaster arising to the significant computer devices in the information centre . Clause 6. The securities company shall
controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month . 2.3 Measure on
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside
characteristics as well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
confidence in the Thai capital market or; (4) the establishment of the fund may cause damage to the investors or may deprive the investors of a fair treatment or the investors may not receive correct and
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts