September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

operating systems have been prepared for the branch office: (a) internal control system that shows intercommunication between the branch office and the head office; (b) operating system to prevent the use of

laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures concerning reporting of suspicious transactions, which would

licensed to undertake securities business in the category of mutual fund management or private fund management which shows interest in subscribing for securities. Clause 14. Securities underwriter is

licensed to undertake securities business in the category of mutual fund management or private fund management which shows interest to subscribe for securities. Clause 14 A securities underwriter shall not

client which shows each type of capital market products and asset allocation; “ investment strategy of program trading ” means specifying investment strategy for an execution of trading orders of capital

social and community development in material issues for business operational process. In addition, the action plan that shows the Company’s capability of managing social sustainability issues in the