content cover the following matter [M] · Security of the Information Technology of a Securities Company. · Segregation of Duties. · Physical Security. · Information and Network Security. · Change Management
the trust instrument appoints a sole trustee or several trustees and specifies each trustee to separately manages the trust property, if there is a cause to alter the trustee but the new trustee has not
shall have the power to prescribe regulation to apply Section 22/1 with such officers, mutatis mutandis . SECTION 29. The laws relating to labour protection concerning compensation and compensation fund
shall, however, be submitted within the time specified in Section 90/26 or Section 91 of the Bankruptcy Act B.E. 2483 (1940), as the case may be. DIVISION 4 PROTECTION OF CUSTOMER ASSET SECTION 41. 2 The
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of
client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the