. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries

public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who

public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who

process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following

shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are

establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest

establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest

across all asset classes, at the portfolio and/or asset level, and establish client (e.g. asset owners, beneficiaries), portfolio and real-economy reduction metrics. Set targets for material non-carbon

นักงำน ผู้ลงทุนสถำบนัมีศักยภำพในกำรลงทุน/กำรรับควำมเสี่ยง (sophisticated) และดูแลตนเองได้ ประกอบกบัหลักเกณฑ์ปจัจบุัน อนุญำตใหผู้้ลงทนุสถำบันสำมำรถรับข้อมูลหรือค ำแนะน ำ กำรลงทุนจำกผูป้ระกอบกำรต่ำงประเทศ

กรณีท่ีเป็น การเสนอขายหลกัทรัพยต่์อผูล้งทุนในกลุ่มแรก (sophisticated investor) ซ่ึงไดรั้บการสันนิษฐานวา่เป็น ผูล้งทุนท่ีมีความรู้ความเขา้ใจในเร่ืองความเส่ียงท่ีเกิดจากการลงทุน กฎเกณฑท่ี์ก ากบัดูแลจึงผอ่น