internal control system helps to prevent and deter frauds. However, emerging frauds that cause considerable damage usually involve malfeasances committed by high-ranking executives. Therefore, independent

1 (“Committee 1”) in Washington, D.C., Paris and Mauritius, respectively. Committee 1 is committed to promoting high quality professional standards, including rigorous application and enforcement

and private sectors jointly committed to developing the Thai capital market as a key alternative mechanism for driving the country’s economy, where economic resources are to be mobilized and allocated

Annual Report 2010 ANN UAL REPORT 2010 SECURITIES AND EXCHANGE COMMISSION, THAILAND ASEAN ECONOMIC COM MUN ITY Vision S = Setting High Standard E = Ethical C = Committed Pro = Professional Mission

Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor

According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a

and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A

E H O L D E R E N G A G E M E N T COMMITMENT GOAL SD POLICY SD FRAMEWORK Governance Being an accountable bank to create sustainable profitability We are committed to strong ESG principles to be a

committed to reviewing within 21 calendar days a complete application from fund managers for the authorisation of a fund; and(c) give participating fund managers more flexibility to delegate the investment

members remain committed to collectively continue these efforts to build a holistic ecosystem for sustainable growth and create connectivity, inclusiveness and resilience of ASEAN capital markets