rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
correctly; (2) processes and procedures shall be established in line with the policy on the governance of information technology; (3) policy on the governance of information technology shall be reviewed at
Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity of Securities Companies By virtue of: (1
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC
into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client in writing . There
client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and