Companies shall conduct an assessment on risks and possibility of major operational disruptions by assessing on an emergency incident, which causes a disruption and business impacts in either short, medium or

trading capital market products for the benefit of itself or other persons before the data has been disseminated; (3) trading or entering into a transaction of capital market products by using inside

inside information in the manner of exploiting other investors, or revealing such information for the benefit of other persons. For the purpose of sub clause (3) of the first paragraph, the term “ inside

บลจ.เอง และกรณีไม่มีราคาตลาด) - การเปิดเผยข้อมูลหลังทำธุรกรรม 3 มาตรการควบคุมดูแล staff dealing + โยนไปประกาศสมาคม 1. นโยบายจาก BoD และระบบด้าน risk/ inside info/ การลงทุน/ COI 2. ต้องจัดเก็บเอกสารหลักฐาน

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired

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

regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4

and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing

service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for

foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the