Market Business (Synopsis) 03/06/2014 01/07/2014   Circular   SEC.ID (C) 15/2562 Guidelines Regarding Roles and Expectations of Directors of Securities Companies and Derivatives Business Operators 31/07

3. Notification of the Office of the Securities and Exchange Commission   5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business (Codefied)   08/03/2006 16/04/2006

prescribing guidelines for compliance with the Notification of the Securities and Exchange Re: Rules, Conditions and Procedures in Filing of Annual Financial Statements and Preparation of Reports of the Stock

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

by the issuing company (“Company”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. - 2 - SEC

regulations.To facilitate foreign investment, SEC and the Association of Thai Securities Companies have jointly updated the procedural guidelines of the association by allowing investors to open an account

human rights by using UNGPs Guiding Principles as the basis for training courses, seminars and guidelines. In addition, in term of human rights, personal data protection is an important and

principles and guidelines for policy making, from investment decision-making to close monitoring of invested companies. Fund managers can also contribute by improving monitoring measures or teaming up with

companies and executives, and (3) market force. In so doing, the SEC is cooperating with agencies and organizations, both public and private, to strengthen supervisory standards and common practice guidelines

Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based