of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD

operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible

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

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

giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the

issued thereunder; which may discredit securities or derivatives business in general or may cause damage to its reputation, status of business operation or client of such business, as the case may be. Form

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...

disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the

its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time

reputation, financial status, business operation or its clients ; (5) having a reasonable ground to believe that there is or was [i] a demeanor of lacking practice on code of conduct or standard of conduct