unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
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
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report
material impact on the management or controlling power or allocation of remunerations apart from the allocation based on shareholding percentage. 9.5 Inside information policy Describe the Company’s policies
บลจ.เอง และกรณีไม่มีราคาตลาด) - การเปิดเผยข้อมูลหลังทำธุรกรรม 3 มาตรการควบคุมดูแล staff dealing + โยนไปประกาศสมาคม 1. นโยบายจาก BoD และระบบด้าน risk/ inside info/ การลงทุน/ COI 2. ต้องจัดเก็บเอกสารหลักฐาน
the agreements having a material impact on the management or controlling power or allocation of remunerations apart from the allocation based on shareholding percentage. 11.5 Inside information policy
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
amendment under the SEC Office's order and the period of completion or the expected period of completion are attached to the requisition for exemption). 5. In case of establishing a full branch office
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
appointed working group. The BCP as such should be kept at place of business, either inside or outside. The BCP shall cover all critical business functions of companies, including a critical operational