prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary

Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market

units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit

. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are

marketing officer [A] 2. Damage Prevention 2.1 Fire Prevention system · Providing an alarm device such as smoke detector, heat detector etc. in order to prevent or suppress fire immediately. [M] · The

any person holding an equivalent position but called otherwise, who are responsible for a line of work relating to the offering of securities services, the securities operation or research on securities

case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person

the client, as the case may be, in order to comply with the order of the derivatives exchange, the derivatives clearing house or the SEC Office in cases where it appears the following facts: (a