Describe the operating results and the results related to environmental management, only in material issues in the business operational process, for example, management of power, water, garbage, waste and

a specified location. 8.2.3 Procedures for normal operation ranging from the beginning until the ending process of critical business functions, such as, submission of securities trading orders

executives (1) Independent director - Specify the selection criteria, i.e., qualifications and selection process; - During the previous accounting period, if any independent director had a business

Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives

., qualifications and selection process; - During the previous accounting period, if any independent director had a business relationship or gave professional services, or if the person appointed to be an independent

conflicts of interest which may arise in every process of business operation; (2) designating systems and measures for preventing conflicts of interest at least the following rules: (a) ensuring that any

in Securities Business. 1.2 Order collecting process. 1.3 Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of

information and opinions made under the KYC/CDD process, as well as those in relation to suspicious transaction reporting, for at least 5 years from the date the account is closed /the business relationship