particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the Audit Committee Part 1 Business Operation and Operating Results

which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

of a holding company, the sizes of the company operating the core business and the others shall be specified in comparison to the specified sizes under relevant regulations. Should the ratios do not

selling within settlement period specified by the clearing house or within performance period specified by counterparty, a securities company shall provide an operating system to support such having

, they may be presented in business lines); - In case of a holding company, the sizes of the company operating the core business and the others shall be specified in comparison major under relevant

Exchange Commission Remark : The reason for issuing this Notification is that the securities company has flexibility in operating its business, able to increase its income and expand its customer, and to

…………………………………. (Unit:Baht) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) Cash flows from operating activities Net income Adjustments to reconcile net earning to net cash (loss) from operating activities

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply