approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

the said matters should include a comprehensive flowchart of the overall business structure of the major shareholder. Also required is the information on the rationale and opportunity or necessity for

disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

company (Chinese wall). There shall be at least measures for prevention of inside information leaking between work units and personnel who have an opportunity to access inside information of a securities

prudence and fairness to unitholders. Mutual fund management company shall sell investment units which obtained as specified in clause 8(3) at the first opportunity in consideration of the benefit of other

การดำเนินคดี หรือซ่อมแซมเพื่อคืนสภาพเดิมก่อนที่จะเกิดหตุการณ์ความเสียหาย 3) opportunity loss – ความเสียหายในเชิงโอกาสของการประกอบธุรกิจอันเนื่องมาจากเหตุการณ์ความเสียหาย เช่น ระบบคอมพิวเตอร์ล่มเป็นผลให้

units and personnel who have an opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information . Clause 6 A

organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any

issuing this Notification is that it deems appropriate to modify the qualifications of applicants for derivatives business license to offer opportunity to business operators with proper qualifications and