e-service Online Submission See canceled document Derivatives Dealer >> Compliance / Internal control Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
] preventing leaking of inside information between units and personnel, [iii] internal control and [iv] risk management for operation of derivatives business in the category to be commenced, including measure
supervision, internal audit, or risk management; 3 Amended by the Notification of the Securities and Exchange Commission No. KorThor. 25/2558 Re: Approval for Undertaking of Derivatives Business (No.4) dated 2
loss of damages arising from or related to its use. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange
and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between responsible units and other personnel, internal
, internal audit or risk management; (4) being able to show that no major shareholder has any prohibited characteristic as specified in Paragraph 2 of Section 25 and the Notification of the Capital Market
any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. Notification of the Capital Market Supervisory Board No. TorDor. 95/2552 Re: Rules
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the