) carefully perform duties to avoid conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not

as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to

prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place

prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place

the executives and employees that could cause conflicts of interest with the business; and prohibitions on corruptions which will cause damages to the organization2. 1.2.3 Appropriate penalties in the

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

เกี่ยวกับความขัดแย้งทางผลประโยชน์ (conflicts of interest : “COI”) ในธุรกิจจัดการลงทุน เป็นหนึ่งในโครงการนำร่อง นั้น สำนักงานได้นำความคิดเห็นที่ได้รับจากผู้ประกอบธุรกิจมาปรับปรุงหลักเกณฑ์เกี่ยวกับ COI โดย

the meeting and has no voting right due to conflict of interest in the Transaction shall as below; List of Directors having conflicts of interest Type of Conflict of Interest a) Mr. Shen, Shyh-Yong a

directors being connected person did not attend the meeting and has no voting right due to conflict of interest in the Transaction shall as below; List of Directors having conflicts of interest Type of

floating capital Working capital 7. Director who was related person / in with conflict of interest did not attend nor cast votes at this agenda List of Directors having conflicts of interest Type of Conflict