laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
notification of the Office when customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
establishment of Thai Feeder Funds and Hong Kong Feeder Funds [ effective upon the signing of HK-TH MRF MoU] The SEC agreed to expedite the approval process of a Thai Feeder Fund investing in a Hong Kong Master
process as necessary. Chapter 2 Criteria for Approval to Use Back Office Service Clause 5 Except as specified in Clause 7, derivatives broker can use back office service from service provider that has
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action
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
แวดล้อม เพื่อความยั่งยืนของกิจการและสังคมโดยรวม โดยแยกเป็น - CSR in process - CSR after process (เปิดเผยแยกจาก CSR in process) - แยกการเปิดเผย CSR after process ออกจาก CSR in process แล้วหรือไม่ การเลือก
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of