แนวทางในการกำกับดูแลการเสนอขายกรมธรรม์ Unit Link PAGE 2 หลักการ การกำกับดูแลการเสนอขายกรมธรรม์ Unit Link ในระยะที่ผ่านมามีบริษัทประกันชีวิตหลายแห่งประสงค์ที่จะออกกรมธรรม์ประกันชีวิตควบการ ลงทุน (Unit

Part 1 Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 1.1 Policy and business overview Provide an overview on the background and nature of

operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system

connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross

needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause

in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4

; “securities investment analysis” means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate

securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection

Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By

derivatives exchange [OTC derivatives], the derivatives broker shall provide such services to Institutional investors only, in which case the provision of Clause 17 and Clause 19 shall not apply. In providing