, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries
unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries; (11) having
give investors an overview of the Company’s preventive measures against exploitation of inside information by directors and executives. 11.6 Auditor remunerations Specify the remunerations for the
estate. In this regard, obtaining possession of real estate shall be any of the following cases: (a) acquisition of a real estate for which Nor.Sor. 3 Kor. [which is the certificate of utilization] has
จัดให้มี การทดสอบอย่างเข้มงวด เพื่อทราบถึงช่องโหว่ ของระบบ (vulnerability scanning) และ การใช้ประโยชน์จากช่องโหว่ (exploitation test) ทั งนี ผู้ประกอบธุรกิจต้องจัดให้มีมาตรการ ควบคุมเพื่อให้กระบวนการ
persons. In this regard, the aforementioned actions are only on the ground resulting from asset appraisal in capital market transaction; (2) there is or was [i] an unfair act or exploitation of investors in
is or was [i] an unfair act or exploitation of investors in trading capital market products or [ii] a collusion or supporting such demeanors of other persons; (3) having a reasonable ground to believe
reasonable ground to believe that there is or was [i] a misconduct against duty or service with reference to loyalty and fairness, [ii] lack of responsibility or deliberation, [iii] exploitation of investors
] exploitation of investors or lack loyalty or practice on code of conduct as a professional specified by the SEC Office, associations, or agencies related to capital market approved by the SEC Office, or [iiii] a