private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 31/2547 Re: Appointing System of Custodian Agent By virtue of Section 4(3)(G) of the Notification of the Securities and Exchange Commission No
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
not personal in nature and needs no capability of trustee’s profession; (3) it is a transaction that a reasonable prudent owner of the property of the same characteristics as the trust property, who