Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
security within the organization in order that operation cross- check is performed for prevention of potential risks, for example, segregation of personnel who operate in the developmental function
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
segregation of assets under Clause 17: (1) money; (a) segregated by depositing with commercial bank or other bank established under the specific law or investing in promissory note issued by a finance company
operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles and
segregation of clients’ assets by the securities company in accordance with the methods specified under Clause 18(1) (a) or (2) (a) shall not be considered as an appointment of an agent to undertake custody of
5 Despite receiving assistance from the Mahachai Group in terms of working capital for its operation in the past, the Company is still unable to secure adequate funding to repay a large amount of