following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their

will not only benefit investor contacts in their performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to

association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession

of benefits from a client’s derivatives trading; (2) a person with the controlling power over a client’s derivatives trading; or (3) a financial supporter of a client for the benefit of trading or

สนองต่อการไม่ปฏิบัติตามกฎหมายและข้อบังคับ โดยที่ International Ethics Standards Board for Accountants (“IESBA”) ได้กำหนดเรื่องการตอบสนองต่อการไม่ปฏิบัติตามกฎหมายและข้อ

or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive

or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; Published

services for other persons or for the benefit of the company itself; (Translation) - 2 - “Executive director” means any person who is appointed by the board of directors as an executive director or