characteristics or become unsuitable to operate the outsourced function in accordance 3 with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification. Clause 5 This
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018 specifies that [in case of outsourcing to a foreign
Notification. “critical function” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
sufficient flexibility to allow markets to function effectively and to respond to new expectations of shareholders and other stakeholders. The Principles are widely used as a benchmark by individual
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party ____________________ Whereas