such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of the

policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the

The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by

The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by

sales of unit trusts and dividends from unit trusts. Yours sincerely, (Mr. Somboon Fusriboon) Managing Director

personal expenses and the depreciation because of the expanding capacity of subsidiaries. Sincerely yours, (Mr.Pongpat Patanavanich) Managing Director

. Hiroaki Sano) Managing Director

Executive Officer and Managing Director Translation

work for such persons to have full or partial managing power in the securities company.

work for such persons to have full or partial managing power in the securities company.