follows: (a) disclose information on the connected transaction of the Company to the SET pursuant to the Connected Transaction Notifications; (b) obtain approval for the connected transaction from the
professional in accounting, finance, business administration, economics or law; Clause 2. The person with power of management of the derivatives business operator must obtain approval from the SEC Office. Clause
Participants. TERMS For the purposes of the IOSCO CRA Code:5 under common control with another entity. performs analytical functions that are necessary for the issuing or monitoring of a credit rating or
, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment
. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works, but they shall keep monitoring such operations. Division 3 Impacts from
applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities brokerage not limited to debt
type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
, so as to efficiently accommodate the undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/15