) -None- 13, Disputes The Company had not had any pending legal disputes that may have an impact on its assets at more than 5 percent of the total shareholder’s equity as of June 30, 2019. 14. Benefits or
securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business operator or derivatives business operator
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
management system, a system to prevent conflicts of interest and leaking of information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be
- 303.33 100.00 2. Cost of sales of CPOA CPOA business has a loss of 3.46 percent, due to the company preventing conflicts of interest. By purchasing CPOA CPOA from related persons or juristic persons
่าเสมอ CRA สามารถก าหนดไดเ้องตามความเหมาะสม ดงันั้น เพ่ือใหเ้กิดความคล่องตวัและไม่เป็นอุปสรรคในทางปฏิบติั ส านกังานจะไม่ก าหนดระยะเวลาท่ีชดัเจนส าหรับเร่ืองน้ี 3. การป้องกนั conflicts of interest (“COI
Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015 Notification of the Office of the Securities and Exchange Commission Sor Thor. 68/2558 Repeal of the Notification of the Office of the Securities and