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
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
damage or must be jointly responsible for the damage occurring to such financial institution whose license has been revoked, or business has been controlled or operation has been ceased due to the status
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
finance during an occurrence of emergency incidents. 5.4 Establishment of alternative site In order to prevent impacts from emergency incidents occurring wide areas, companies may arrange an alternative
Limited (TSD) occurring from settling the securities trader via the clearing house of securities depository center and a net balance account of creditor of derivatives clearing house. 15. Securities
keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the
and service providing procedures to be in compliance with the provisions stipulated in Clause 5/3. In the case of repeated sale occurring with the communication and providing services of traditional
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