information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work
personnel of the securities company. In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work units and personnel who have an
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client
of director, derivatives investment manager, manager of the management company, or any person holding equivalent position called otherwise who take the highest responsibility in the line of work
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the