securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
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
and operational management, a system to prevent conflicts of interest and leaking of information which should not be disclosed between units and personnel (Chinese wall), a system for internal audit and
Internal cash flow. 6. Names of directors having the interest and/or directors who are connected persons Mr. Korn Narongdej was not the management of the Company. Therefore, he was not present in the meeting
Page 1 of 2 SET 007/2020 12 August 2020 Subject Management Discussion and Analysis for the second quarter 2020 To The President of the Stock Exchange of Thailand The Company would like to provide
/1146pe.doc Translation client’s asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets
resolved to approve all transactions but with an observation that GJS should renegotiate with AM regarding the conditions on interest rate charged, commitment fee, breakage penalties fees, and management fee