on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
of all stakeholders in the capital market are taken into consideration Amendments Details 3.1 Regulatory objectives and rules for operation of securities exchange • The SET shall promote and maintain
measure is considered by a sub-committee whose most members are representatives from the private sector. These steps ensure that the measure to be taken is appropriate, practical and respectful to
the first paragraph hereof is a manager or a department director who is responsible for a line of work relating to the investment management of a management company and has taken any fundamental
responsible for a line of work relating to the investment management of a management company and has taken any fundamental knowledge courses as stipulated in (5) for a period of time not exceeding two years on
during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between work units and personnel of a securities
company. All types of risks which may occur during the course of business undertaking shall be taken into account in making risk appraisal; (3) measures for prevention of inside information leaking between
presentation should be taken as forecasts or promises nor should they be taken as implying any indication, assurance or guarantee that the assumptions on which such future projections, expectations, estimates or