shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business
acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the
significant incomes must be displayed in a separate row (if any). 2.2 Give a separate description of each product line or business group in the following matters (according to the income structure). The
Consolidated assets (THB) Consolidated income (THB) Consolidated net profit (loss) (THB) Separate assets (THB) Separate income (THB) Separate net profit (loss) (THB) Audit fee (THB) Other fees Auditor’s opinions
separate row. 1.2.2 Product information Give a separate description of each product line or business group in the following matters. (1) Characteristics of products or services and development of business