Page 173 - BAM ONE REPORT 2565 (ENGLISH VERSION)

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The Company determines the guidelines on the
use of inside information for securities trading or entering
into an obligation under derivatives contracts that
involve the Company’s securities, as follows:
1. Not to use the Company’s inside information
for securities trading or for entering into
derivatives contracts that involve the
Company’s securities.
The persons designated by the Company (those
whose positions or duties allow them to have access to
the Company’s inside information) must follow the laws
on prohibition of the use of inside information for securities
trading or for entering into derivatives contracts that
involve securities, as prescribed in Section 242 of the
Securities and Exchange Act B.E. 2535, as amended,
which prohibit any persons who know or possess the
inside information of securities-issuing companies from
conducting the following actions:
1.1) Not to engage in securities trading or
enter into derivatives contracts, whether for
oneself or for other person, except for one
of the following transactions:
a) Transactions performed to comply
with the laws, court orders, or orders
of the agencies that have the legal
authority;
b) Transactions performed to honor
the obligation under the derivatives
contracts that were entered into
before one knows or possesses the
inside information of securities-
issuing companies;
c) Transactions performed without
one’s knowledge or decision as he/
she has appointed a legitimate
licensed or registered person to
manage the fund or the investment
and decide on the securities trading or
the entering into derivatives contracts
that involve those securities;
Form 56-1 One Report 2022
d) Transactions performed in such a
way that does not take advantage
of other persons or performed in
accordance with the SEC’s notification.
1.2) Not to disclose inside information to
other persons, whether directly or indirectly
and by whatever method, if one knows or
should know that the recipients of such
information may use the information for the
benefit of their securities trading or entering
into derivatives contracts, whether for their
own or other person’s benefit, except for the
transactions performed in such a way that
does not take advantage of other persons
or performed in accordance with the SEC’s
notification.
In case the person designated by the
Company knows inside information not yet
made public and likely affecting securities
prices of other companies in the process of
joint transactions with the Company, any
action to be taken must take into account
practices under the relevant laws.
2. In the case of outsiders, the Company will
enter into a confidentiality agreement or
contract with outsiders, such as consultants or
other service providers, before allowing them
to access the Company’s inside information.
The Company will require the outsiders to
sign for their acknowledgment and obligation
under the confidentiality agreement/contract.
3. Abstain Period
3.1) The persons designated by the Company
must abstain from trading the securities or
entering into derivatives contracts that involve
those securities, or from disclosing the inside
information to other persons. In the case
where they know the inside information that