interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s rules governing trading by executives and employees. SEC Act S.283 Settlement Committee

from recovery of internal demand of several countries. In the meantime, Thai economy still has continuously expanded in the same direction from investment motivation of both governmental and private

, or arranger may mislead market participants. Likewise, conflicts of interest or other undue factors internal and external that might, or even appear to, impinge upon the independence of ity. Where

, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management

securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system

or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management system to prevent damage

ต่อการดำเนินธุรกิจ โดยเหตุการณ์ความเสี่ยงดังกล่าวอาจมีสาเหตุมาจากปัจจัยภายใน (internal factor) เช่น กระบวนการปฏิบัติงาน ระบบงาน บุคลากร เป็นต้น รวมถึงปัจจัยภายนอกอื่น ๆ (external factor) เช่น การปฏิบัติ

| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of

& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities

Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders