services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
via KBank e-Learning system Communicating to employees the Anti-Corruption Policy and informing them of communication channels for accepting information, suggestions or complaints via internal media
a potential conflict of interest holds shares of a subsidiary or associated company at an amount exceeding 10 percent of the voting shares of such company, clarify the reason for allowing the person
such company, clarify the reason for allowing the person with a potential conflict of interest to hold shares of such company instead of direct shareholding in the Company. 1.3.3 Relationship with major
of liabilities not exceeding the shareholders’ equity of the securities company ; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as
shareholders’ equity of the securities company; (b) financing lease which is under the condition allowing for early termination of lease by the securities company as the lessee without purchasing the asset
providing trading service for units of foreign collective investment scheme, securities company shall comply with the following requirements: (1) accepting trading order during business hours and on business
investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for