the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board

offering, or the rules, conditions and procedures for share offering of a limited company in accordance with the Civil and Commercial Code in a general case or to the general public, as the case may be. In

irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of

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

Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of

of the investment committee. 3.2.2 Practices on Submission of Trading Orders (1) Prescription of criteria for selection of the brokerage company e.g. research market information, best dealing and

name ] filed on Position in the Company Director [ ] President [ ] President and Independent Director [ ] President Independent Director and Member of Audit Committee [ ] Director [ ] Independent

. monitoring · Monitoring the importance operation system effectiveness to consistently and efficiently functions such as transmission system for securities trading, connection between company and Securities

law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law

development plan and monitor the implementation of the plan which may be done in a prioritized order. 11.8 Other matters related to compliance with the CG code The Company may disclosure other actions in