balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

contributions to social causes by any other means apart from normal business operation ( in-process CSR) may also be disclosed in a separate section ( after-process CSR). Guidelines for CSR disclosure and

-process CSR incorporated into the core business operation from formation of vision, objectives and strategies to business risk assessment and day-to-day activities, e.g., product design, raw material

credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the

conflicts of interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and (3) and Clause 19 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules

management of information technology resources which covers the allocation of resources to ensure sufficiency for business operation and establishment of guidelines to support incidents where the resources are

a specified location. 8.2.3 Procedures for normal operation ranging from the beginning until the ending process of critical business functions, such as, submission of securities trading orders