that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside

of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for

ในหน่วยลงทุนของ บลจ.เอง การเปิดเผยข้อมูล และการรายงาน 1 ระบบ chinese wall 2 internal control + การกำกับดูแลและตรวจสอบเพื่อป้องกัน inside info 3 มาตรการป้องกัน COI 3.1 soft$ (รวม hard$ ด้วย) 3.2

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial

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

personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment

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