for the Type D license under the specified requirements; for example, their businesses must be relevant, supportive or beneficial to the applying securities business without any conflicts of interest
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts
which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts of interest. In the case where an executive holds a position required to work on a full- time
increase according to the said policy. Please be informed accordingly. Sincerely yours, ( Mrs.Chadchaya Traitrakulchai ) Managing Director Incomes In the case of including goods from eliminating conflicts of
) establishing an efficient management system for handling complaints or disputes in connection with provision of services as securities registrar; (6) facilitating the examination of the securities register for
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary