irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the Audit Committee Part 1 Business Operation and Operating Results
in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for proprietary trading which would be able to prevent the following occurrences: (a) negative
securities trading center, which shall comply with at least the rules, conditions and procedures for share offering of limited companies under the Civil and Commercial Code in a general case or to the general
securities company, Bank of Thailand or licensed to undertake securities business in the category of securities trading under the foreign law; “Institutional client” means the following customers: (1
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
ตลาดหลักทรัพย์ ที่ สน. 41/2560 เรื่อง การเปิดเผยการปฏิบัติตามหลักธรรมาภิบาลการลงทุนสำหรับ ผู้ลงทุนสถาบัน (Investment Governance Code for Institutional Investors) ลงวันที่ 3 สิงหาคม พ.ศ. 2560 เพื่อกำหนดหลักเกณฑ์
relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of