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
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
access to inside information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of
registration within sixty days from the date of receiving the correct and complete application and evidential documents. Clause 6/16 In case where registered derivatives business operator has ceased the status
) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
of Directors meeting. Within September 30, 2020 2 Related Parties Buyer : UBIS (Asia) Public Company Limited Seller : Golden Arrow Coating Co., Ltd.* Relationship : Golden Arrow Coating Co., Ltd.* - Mr
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
intermediary established in foreign jurisdiction for providing services of information or as liaison office within the scope of this Notification. “auditor” means an auditor approved by the SEC Office under the
the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of such assets, and for internal control
will be Baht 3,682,000 advanced deposit on the agreement date and will pay the rest, Baht 33,138,00 within November 2, 2018. 5. Total value of assets acquired and the basis used to determine the value of