Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of

) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for

responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline

Translation (Translation) PAGE (Translation) -45- 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. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

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

, internal audit unit, compliance unit, risk management unit, to reflect the order of commands, support, inspection, independence and separation of duties between the Board of Directors and the management. 7.2

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

responsibilities for interim employment etc. [M] Segregation of Duties. Objective Segregation of Duties have an objective for a cross-check system among the personnel in computer division which reduce the

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