credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
has a material issue on violation of laws or regulations in the environmental area, or is under the accusation of causing a negative impact on the environmental issue, especially the issue appearing in
information Specify other information that may influence investors' decision making significantly or ensure equal information access for all investors, as deemed necessary and useful. In any case, the Company
an intermediary as capital market servicer renders credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which
Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business
activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
' decision making significantly or ensure equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty to disclose accurate and sufficient information that
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of
contract for hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly