ความเสียหายที่เกิดขึ้นจาก operational risk 2 (ย้อนหลัง 5 ปี) (บาท) 25 ... 25 ... 25 ... 25 ... 25 ... 1. ความเสี่ยงจากการทุจริตภายใน (internal fraud) 2. ความเสี่ยงจากการทุจริตภายนอก (external fraud) 3

as investment advisor or derivatives investment advisor on the condition of not involving in the data collection or the data processing to publish advice on the website or electronic media, including

clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents

collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and

being punished or legally proceeding against for management in the manner of deceit, fraud or dishonesty relating to offences against property as specified as prohibited characteristic in Group 2 under

or offences related to deceit, fraud or dishonesty; (6) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is

in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished for management in the manner of deceit, fraud or dishonesty relating to offences against property as

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or

trustee under the first paragraph. The SEC Office has the power to specify in its notification the rules, conditions and procedures relating to collection, disposal or allocation of the property specified