log-on and enforce password 24 changes at least once every six months; (5) prevent previously used passwords; (6) not display passwords on the screen while being entered; (7) store password files in
from either direct investment in an asset or indirect exposure through investment in an instrument or a contract that offers returns from the underlying, and as a result, exposes the fund to the risks of
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
Notification shall come into force as from 1 December 2012. Clause 2 In this Notification: “REIT Manager” means a person specified in a trust instrument as the manager of REIT with the authority and duty to
the custody of derivatives broker from securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without
securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or consent in writing. Clause 7
● Development of Debt Instrument Secondary Market Expansion of Investor Base and Distribution Channels for Investors and Promotion of Investment Culture ● Additional Mutual Fund Management Licenses in the Thai
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A