intermediary and reveal the report in the annual compliance report; (5)1 in case the outsourced function is related to derivatives investment, the intermediary shall outsource such function to a derivatives
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
derivatives exchange for the acknowledgment of members or involved persons of the derivatives exchange. Clause 17 Derivatives exchanges shall establish adequate measures to prevent directors, executives, sub
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
May 2020 with significant resolutions as follows: 1. Acknowledgment of a resignation of Mr. Sontiyan Chuenruetainaidhama from positions of Director ,Vice Chairman of the Board of Directors No.2 and
operational results for the year 2018 Opinion of the Board: It deemed appropriate to report the Company’s operational results for the year 2018 to the Meeting of Shareholders for acknowledgment without passing
2018 to the Meeting of Shareholders for acknowledgment without passing any resolution. Item 3 To consider and approve the statement of financial position and the statement of comprehensive income for the