/phs1233904159Oryor7_2552.pdf Microsoft Word - เอกสารแนบ _1_.doc างผูลงทุนดานธุรกิจหลักทรัพยกบัผูลงทุนในธุรกิจดานอื่น ของบริษัทหลักทรัพย (conflict of interest) (10) มีมาตรการอยางเพียงพอในการคุมครองทรัพยสินของผู

Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules   19/07/2006 16/08/2006                         3. Notification of the Office of the Securities and Exchange

e-service Online Submission See canceled document Securities Brokerage Business >> Conflict of Interest   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Securities Underwriter Business >> Conflict of Interest   Type Title Section See Document Status Notified Date Effective Date 1. Notification of

e-service Online Submission See canceled document Securities Dealer Business >> Conflict of Interest   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Agent >> Conflict of interest   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents

personal relationships that might create a conflict? 4 Long Association / Rotation: Do they require that: · the length of time held by key audit partners and staff is monitored for ; and are subject to

Family/Personal Relationships: Do they require that partners and professional staff report any immediate or close family and other personal relationships that might create a conflict? 4 Long Association

Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets