& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities

) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of

any liabilities, its financial statements were not in compliance with the generally accepted accounting standards. The SEC thus instructed JAS to rectify those financial statements by recognizing the

บริษัท ทุ่งคาฮาเบอร์ จำกัด (มหาชน) บริษัท ทุ่งคาฮาเบอร์ จำกัด (มหาชน) (THL) ถูกตลาดหลักทรัพย์ฯ ขึ้นเครื่องหมาย SP (Suspension) และ NC (Non-Compliance) มีหน้าที่จัดทำและนำส่งรายงานทางการเงินสำหรับรอบ

: compliance@ais.co.th, rungkarn@ais.co.th mailto:compliance@ais.co.th

-related operations, such as bondholder representatives and bond registrars. The revised Terms and Conditions is in compliance with the SEC’s amended regulations, enhances the efficiency of bondholder

Bangkok, August 5, 2009 ? The SEC imposed sanctions on two investor contacts for non-compliance with professional standards of conduct. In the case of Pimon Raksurong, former marketing officer of

Bangkok, October 26, 2009 ? The SEC has sent a circular to listed companies urging them to make necessary preparation for compliance with the new rule regarding board?s composition, which requires

regarding complying with the GIPS Standards, which would help facilitate investors in comparing the fund performance. The AIMC standard has, however, been largely in compliance with the GIPS Standards and the

strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume