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
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
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
server device network device etc. in the computer centre or prohibited zone and identifying right for computer centre. [M] · In case of unauthorised person may have a necessary to in the computer centre
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
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
, 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
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