including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
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
[i] a juristic person established under foreign law which offers service as the exchange or over-the-counter center under the law of such country and [ii] is regulated by the government or securities
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
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
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