[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1
the protection and maintenance of the best interest of investors under acceptable risk exposure. Therefore, in the supervision of the business of mutual fund or private fund management, it is necessary
decisions accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
Exchange of Thailand, as follows: (1) Fair business practices (2) Anti-corruption (3) Human rights protection (4) Equitable labor treatment (5) Responsibility to consumers (6) Environmental protection (7
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation or right of a person arising from derivatives trading. “close out a
ไปกว่าทรัพย์สินที่ต้องการป้องกันความเสี่ยง (underlying obligation) ให้บริษัทจัดการคิด company limit ที่ผู้ขายประกันความเสี่ยงแทน underlying obligation ได้ โดยให้คิดเท่ากับมูลค่าชดเชยสูงสุดที่ต้องชำระ
matter may be outlined according to the eight principles7 prescribed by the Stock Exchange of Thailand, as follows: (1) Fair business practices (2) Anti-corruption (3) Human rights protection (4) Equitable