Professional Conduct dated June 21, 2005 and Clause 14(6) of the SEC Office Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 which was in

owners, in order to gain indirect benefits for himself. His actions are deemed as failure to honestly and fairly perform his duty in providing financial services, lacking of professional accountability or

advice with bias, not based on professional standards, and without supporting studies/researches or imparting rumors. For {E}, his action was considered using client account to trade securities for the

from 2024 to 2027; (5) The Excellence Synergy Award, for associations and professional clubs in the capital market; and (6) The Financial Changemaker Award, for financial and investment

of Ethics for Professional Accountants (จรรยาบรรณของผู้ประกอบวิชาชีพบัญชี หรือ “code of ethics”) โดยมีผลใช้บังคับตั้งแต่วันที่ 15 กรกฎาคม 2560 ซึ่งปัจจุบันสภาวิชาชีพบัญชี ในพระบรมราชูปถัมภ์

following steps and periods of time: (a) conduct due diligence of the facts in accordance with the steps and procedures specified in the Licensing Manual for the Public, and shall inform the applicant of any

respect to Derivatives __________________ Clause 37 To ensure that steps or procedures concerning computer systems relating to derivatives clearing and settlement services are effective, each derivatives

information. You may withdraw your consent at any time by taking the following steps: Press the unsubscribe button from the emails of the SEC Office; Check the email address; Press the Confirm button to

transactions due to differences in securities clearing houses; (2) practical steps and procedures for dealing with the case of default in securities clearing or settlement which is enforceable on other

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