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
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the
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
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
บลจ.เอง และกรณีไม่มีราคาตลาด) - การเปิดเผยข้อมูลหลังทำธุรกรรม 3 มาตรการควบคุมดูแล staff dealing + โยนไปประกาศสมาคม 1. นโยบายจาก BoD และระบบด้าน risk/ inside info/ การลงทุน/ COI 2. ต้องจัดเก็บเอกสารหลักฐาน
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
the agreements having a material impact on the management or controlling power or allocation of remunerations apart from the allocation based on shareholding percentage. 11.5 Inside information policy
material impact on the management or controlling power or allocation of remunerations apart from the allocation based on shareholding percentage. 9.5 Inside information policy Describe the Company’s policies
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an