Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an offer for sale
management and development, fund raising, procurement and installation, construction, examination and operation to an individual, juristic person, government agency, state enterprise, international
installation, construction, examination and operation to an individual, juristic person, government agency, state enterprise, international organization or any other countries, or in corporation with a foreign
raising, procurement and installation, construction, examination and operation to an individual, juristic person, government agency, state enterprise, international organization or any other countries, or
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
trading date and during the first two years the safekeeping shall be retrievable immediately upon the SEC Office’s request for viewing or examination. Division 1 Determination of Portfolio Advisory or
products shall be at least five years as of the trading date and during the first two years the safekeeping shall be retrievable immediately upon the SEC Office’s request for viewing or examination. Division