property that resulting in damage to the financial institution where I served as director or executive or to the clients. [ ] Yes [ ] No (2) I was imprisoned by the court’s final judgment regardless of

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

shall take the following factors into consideration: (1) relevant roles and demeanors of persons being considered; (2) [other] penalty which such person has already served; (3) impact on or damage to

-served basis and take into consideration the interest of clients before the interest of the intermediary ; (3) specify a method and procedure for revising securities trading transactions of the clients

considered; (2) [other] penalty which such person has already served; (3) impact on or damage to clients , investors , company or shareholders as a whole, money market or capital market as a whole, or benefits

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...