securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to access inside information of a securities
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
position in the company or upon the retirement of obligation of the company where I hold position or work as to preparation and submission of report on financial condition and result of operation under
) O No (4) Was dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
registered with Thailand Greenhouse Gas Management Organization (Public Organization) or the reviewer the Company regards as having work widely accepted according to international standards. The Board of