further legal proceedings. Anyone who may have been affected because of his unlicensed securities business operation should give their accounts for the ECD Police?s further investigation and procecution by

Bangkok, August 7, 2013 ? The SEC will organize four rounds of half-day seminars on ?Revised Rules Governing Preparation of Reports under Section 56 and Annual Registration Statement (Form 56-1)? on August 21, 23, 26 and September 3, 2013. The seminars will start from 9.00 to12.00 hrs. at Professor Sangvien Indaravijaya Conference Room, 3th Floor, the Stock Exchange of Thailand building. This aims to better listed companies? and financial advisors? understanding on the new rules and help them...

The provisions proposed to be added are as follows:             (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If, however, there is any matter that SEC Board has not specifically specified, then the provisions under the Trade Association Act will be applied mutatis mutandis;             (2) Provision that will allow the association to invest in certain types of securities, provided that, such investment is made...

organizational leaders which could affect the business operation, internal control, and financial reporting. Moreover, the company launches measures to deal with the changes sufficiently. Control Activities 10

ใจ/การมีระบบ ควบคุมภายในส าหรับธุรกิจใหม่ (internal process) และควรก าหนดเป็นประเภทของหลกัทรัพยท่ี์ อนุญาตมากกวา่ก าหนดเป็นรายหลกัทรัพย ์ (2) บริษทัหลกัทรัพยส์ามารถท าหนา้ท่ีเป็นผูจ้ดัจ าหน่ายหล

Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business

officials or make an appointment for consultation service at SEC office without any charge.”Simultaneously, SEC has also improved its internal work process in receiving information, clues and complaints