Analysis Summary of Audit Inspection Results A. Firm Level B. Engagement Level Essential Statistics 49 4412 46 0402 07 Contents Executive Summary The capital market is a fundamental component in driving Thai
essential systems needed to facilitate securities trading; 2.To undertake any business relating to the Securities Exchange, such as a clearing house, securities depository center, securities registrar
Meeting on October 21, 2010 in Bangkok. essential. This requires establishment of good corporate governance, transparency and protection of investors’ and shareholders’ rights. Meanwhile, as investors will
duties and essential behavioural norms for board members. Asian economies should continue to review and refine the norms and practices concerning objective, independent judgement of board members. The
management framework through development of essential infrastructures and processes to appropriately and timely manage market risk of financial products. In addition, we have established market risk management
issuers as well as intermediary transaction costs to enhance competitiveness of Thai companies 2.4 Develop essential infrastructure in terms of legal, regulatory, supervisory, accounting, taxation, and
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
may lose from the derivatives position remaining until the settlement date. (Translation) 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The
futures trading of an investor for loss limitation The derivatives broker may be unable to proceed with the order of any kind of futures trading of an investor which has an objective to limit potential loss
in the SPA being fulfilled. Those conditions precedent include, without limitation, receipt of (i) the approval of general meeting of shareholders and approval of the Bank of Thailand for the Bank’s