such as information structure document, operational manual, name list account of user, functional program and program specification etc. and keep such document in the safe place and simply use. [M
business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from
reports have been finalized? If yes, Please describe the policies and procedures. 14 Has the firm established policies and procedures designed to maintain the confidentiality, safe custody, integrity
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b
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
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured