of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

securities offering prior to the effective date of the registration statement and draft prospectus. Clause 11. A securities underwriter shall not disseminate an article or research paper prepared by itself, a

any change in such securities may directly impact the price of underwritten securities upon complying with the following conditions: (1) an article or research paper shall contain a statement indicating

work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line of

จัดสอบโดย Association for Investment Management and Research (AIMR) หรือ (3) หลักสูตรอื่นใดที่เทียบเท่าตามที่สมาคมกำหนด ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันถัดจากวันประกาศในราชกิจจานุเบกษา เป็นต้นไป

Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets

for selecting an analysis/a research to support an investment decision. (4) Prescription of criteria in selecting each asset/group of asset to be actively or passively* invested in order to reduce risk

of customers, the target customers, the project value, the sale and construction progress, etc. Describe the research and development policy in areas and specify the details of the process of

relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for

staff and that of each core business. In case of material change in the number of staff or a substantial labor dispute during the past three years, clarify the causes and policies on such matter. In