. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing

securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system

emerged from the public, whether an ICO can be done legally, particularly whether it falls under the SEC’s regulations. Figure 1: ICOs that fall under the SEC’s purview 1.4 In cases where an ICO constitutes

CFD-issuer 1. 1.1 1.2 1.3 1.4 ... 2 2.1 ( 2.2 2.3 2.4 / / / / 2.5 2.6 ( .. 2.7 2.8 oversubscription) (Funding portal) CFD-issuer excel ID code %) 1 1 1 1 1 % 2

สารท่ีเสนอขายทั้งหมด รหสัอา้งอิงตราสาร (เช่น ThaiBMA symbol (ถา้มี) หรือรหสัอ่ืนใดท่ีใชท้ดแทน) จ านวนตราสารท่ียงั ไม่ไดไ้ถ่ถอน 2. รายละเอียดของการผิดนดัช าระ เช่น ชนิดของเงินท่ีผิดนดั (เงินตน้ ดอกเบ้ีย

ความหมาย ตัวอยางขอมูล ThaiBMA Symbol Char(20) 20 O ชื่อยอหลักทรัพยของ ThaiBMA THA0102A ISIN Char(12) 12 O ISIN Code TH0001010006 Issue Date Date M วันออกตราสาร เปน ค.ศ. YYYY-MM-DD 2018-03-30

A-1 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES THE BOARD OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING

accurate, complete, truthful and updated manner; (2) establishing a code of conduct or rules for securities transfers, pledges, securities attachments, issuance of new securities certificates and other

Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board

undertaking and details of asset appraisal Attachment 5: Unabridged policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the