รองรับความต่อเนื่องของธุรกิจ จึงอาจท าให้ บลจ. ไม่มีเงินทุนเพียงพอที่จะรองรับการประกอบธุรกิจ นอกจากนี้ หลักเกณฑ์ก าหนดให้ บลจ. จัดให้มี การท าประกันภัย1 (Professional Indemnity Insurance : “PII”) เพื่อ
measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 16 3 An intermediary shall arrange to have a written contract
preventive measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 163 An intermediary shall arrange to have a written
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
a professional. Clause 8 The policy for outsourcing operational function to a service provider under Clause 7(1) shall specify details and comply with the following rules: (1) scope and nature of the
as a professional. Clause 8 The policy for outsourcing operational function to a service provider under Clause 7(1) shall specify details and comply with the following rules: (1) scope and nature of
integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide
behavior that, if considered on a reasonable ground, indicates failure to honestly and fairly perform duty in providing financial services, lacks professional accountability or due care, or aids or abets or