] preventing leaking of inside information between units and personnel, [iii] internal control and [iv] risk management for operation of derivatives business in the category to be commenced, including measure
Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for
October 2006. (Unofficial Translation) Page 8 of 12 The agreement made between the securities company and a retail client under the first paragraph shall bear no term or condition in which the securities
not Debt Instruments (No. 10) dated 25 October 2006. (Unofficial Translation) Page 8 of 12 The agreement made between the securities company and a retail client under the first paragraph shall bear no
the court .……….., case pending adjudication No. .……/25.. and adjudicated case No..……/25.. between.……………. and………………………………… for an offence of ……………………………………..…….. Punishment inflicted
offence: O yes (please specify in detail) O the final judgement of the court .……….., case pending adjudication No. .……/25.. and adjudicated case No..……/25.. between.……………. and………………………………… for an offence of
persons, which does not fall into the prohibited underwriting under Clause 3, such securities underwriter shall also disclose a relationship between itself and such person to investors; (7) notify a related
securities underwriter shall also disclose a relationship between itself and such person to investors; (7) notify a related securities company of the obliged duty under Clause 16; (8) provide a name list of
obtained from negotiations between the Company and the Seller, the fair value of which had been evaluated by Capital Advantage Company Limited (“CapAd” or the “Financial Advisor”), which valued ART and AWM