/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
Forum (ACMF), which is a high-level grouping of capital market regulators in ASEAN jurisdictions with the aim to elevate the quality of business supervision of the listed companies in ASEAN to meet
] laws, objectives or articles of corporation, and the resolutions of the board of directors or of the shareholders’ meeting; (b) breaching the law relating to the supervision of the capital market whether
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
newly issued shares is therefore a connected transaction of the Company under the under the Notification of the Capital Market Supervision Board No. 21/2551 RE Rules on Connected Transactions and the
assessing possible impacts, placing 5 importance on efficient risk management under the supervision of the Enterprise Risk Management Division, Market Risk Management Sub-committee and Risk Management
the ones established by the IFAC; (4) “Quality Assurance Review Panel” means a body of persons appointed by the SEC Office to give advice and recommendations regarding supervision of auditors in the
under the supervision of the Board of Directors. The Board of Directors shall be responsible for the company’s operations to shareholders, stakeholders and members of the public. The Board of Directors is