technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
functions in accordance with the defined access rights; (b) control access to information systems and applications by a secured log-on procedure; (c) establish password management systems to ensure security
(Secured bonds and Unsecured bonds) โดยทั่วไปหุ้นกู้ที่มีจำหน่ายในท้องตลาดจะประกอบ ไปด้วย 2 ส่วน คือ หุ้นกู้มีหลักประกันและหุ้นกู้ที่ไม่มีหลักประกัน สำหรับหุ้นกู้มีหลักประกัน คือ หุ้นกู้ที่นำสินทรัพย์มาค้ำ
from the provisions under Division 2: Debentures, Division 3: Issuance of Secured Debentures, Division 4: Register and Transferability, or Division 5: Disclosure of Information and Auditor of this