Questionnaire A.0 Risk Assessment Process for Relevant Ethical Requirements element Firm's Reference /Guidance Notes Description 1 What are the quality risks in ethical requirement element that the
with higher risk. Lastly, the government’s policy aimed to promote and support small and medium enterprises (SMEs)’ growth and facilitate their access to sources of fund in the capital market. Given such
and Other Prohibited Characteristics of Directors and Executives of Securities Companies (No.2) dated 1 February 2010. (Translation) 2 the duty of securities business management such as a risk
the derivatives business operator itself, including a person who is a member of a committee which performs the duty of derivatives business management such as risk management committee, investment
derivatives trading which may reduce the risk of the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on
derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any derivatives trading which may reduce the risk of
effective risk management and internal control Principle 7: Ensure disclosure and financial integrity Principle 8: Ensure engagement and communication with shareholders 3.2 Implementation of the Corporate
. Paying Agent * L. Credit Rating รายการที่กําหนดในประกาศ กจ.4/2549 M. Applicable Law * III. RISK FACTORS รายการที่กําหนดในประกาศ กจ.4/2549 IV. MARKETS A. Identity of Exchanges and Regulated Markets × B