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
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. PAGE UNOFFICIAL TRANSLATION (Revised 2015
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
comes into force in B.E. 2559 (2016) and the sixth amendment of the Securities and Exchange Act which comes into force in B.E. 2562 (2019), the English translation has been revised by the staff of the SEC
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as
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
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
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
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