governance and risk management continuously to maintain credibility and trust of all stakeholders. Besides operating under the supervision of the SEC/SET, Bank of Thailand, related laws and regulations, the
satisfaction. In addition, the Company develops corporate governance and risk management continuously to maintain credibility and trust of all stakeholders. Besides operating under the supervision of the SEC/SET
and trust of all stakeholders. Besides operating under the supervision of the SEC/SET, Bank of Thailand, related laws and regulations, the Company also complies ISO world-class standards to control
the result of the deliberation of the application within forty-five days as from the date of receiving the clarification of the issues and observation derived from the review of the facts. In the case
investment units of foreign fund, such fund shall be in conforming to the following conditions: (a) it has to be under the supervision of a regulatory agency supervising securities and securities exchanges
instrument shall state a supervision measure on the issuing company to ensure that its investment complies with (1) and (2) as if any such investment is made directly by the trust. Clause 11 The stipulation
securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1.6 For the purpose of supervision the undertaking of
/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is
Instruments (No. 9) dated 28 February 2005; (3) Clause 2 and Clause 3 of the Notification of the Securities and Exchange Commission No. KorThor. 61/2543 Re: Rules, Conditions and Procedures for Supervision of
of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of