of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of
broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
management system, a system to prevent conflicts of interest and leaking of information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be
interests of investors; (2) the branch office has serious fault in its operating system; (3) the management company is unable to maintain the qualifications or it has a statutory disqualification as
operating system that is appropriate for servicing customers, as prescribed in clause 5 of the Notification of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures
of Thailand or may impact on international relationship, in case of oversea branch office; (3) inability to maintain the qualifications as specified in Clause 7; (4) not having system of operational