notify the incidents to the regulatory agencies in time, the intermediaries shall design a plan for communication with relevent persons either inside or outside companies in accordance with possible

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

) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to

that of the subsidiaries for the Company. 2. Risk Management 2.1 Risk management policy and plan Describe the policy, operating framework and organizational risk management plan to demonstrate that the

shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the

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

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

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an