provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (4) having readiness for participating in the regulatory sandbox in the following
Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately
benefit Thai investors or the Thai capital market; (2) having readiness for participating in a regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support
.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in Thailand 18) Name of Participating Dealer
accessing or altering such information. The derivatives dealer shall keep the information pertaining to derivatives business undertaking under Paragraph 1 for a period of not less than five years from the
after altering or maintenance. [M] · Providing compliance guideline for operate the software such as personal firewall, password cracker etc. and consistently inspect the operation of software utility. [M
innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets