substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
.. PAGE (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
with this Notification. Clause 14. All the Notifications, orders and circular letters, under Clause 1, issued under or providing guidelines for compliance with the Notification of the Securities and
comply with the following regulations: (1) the fundamental analysis report shall be made according to guidelines prescribed by Association of Thai Securities Companies approved by the SEC office; (2) the
such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research
size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause