1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

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

about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting the client ’s asset which is under the following rules: (a) in case the client ’s

; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting

for safeguarding their user IDs, passwords, and any personal information that may be potentially used to request a change of the user IDs and passwords. 5.4. System and Application Access Control

ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี

system for enhancing and protecting the orderly operating mechanism of the trading system; (f) having a controlling mechanism to ensure that the service user who offers to buy or buy securities in the

related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the

employee shall contact an employee as scheduled. A significant change, such as, acquirement of additional business license, merger and acquisition or change of used technology. To focus on protecting