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
selection of a custodian agent to ensure that the custodian agent has system ready to keep assets into its custody; □ (3.8)** System to coordinate with the custodian agent to ensure that the applicant can
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
their publication in the Government Gazette. SECTION 7 The Minister of Finance shall be in charge of this Act and shall have the power to issue notifications and appoint competent officials to perform
ภัย (2) ชื่อสถาบันจัดอันดับความน่าเชื่อถือที่จัดอันดับบริษัทผู้รับประกันภัย (3) อันดับความแข็งแกร่งทางการเงิน (financial strength rating) ล่าสุด (ถ้ามี) (4) อันดับความน่าเชื่อถือเกี่ยวกับความสามารถในการ
publication in the Government Gazette. SECTION 8 . The Minister of Finance shall be in charge of this Act and shall have the power to issue notifications and appoint competent officials to perform duties under
internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in