risks as basis for determining how the risk should be managed. Questions Yes No 7.1 The company identifies all risks which may affect business operation at levels of organization, business unit
securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
holders. “Central securities depository” means any central securities depository under the law on securities and exchange; “Margin account” means an account of client’s loan for securities purchasing or
Mr. Choavalit Limpanich On April 27, 2010, Mr. Choavalit Limpanich colluded with Mr. Yanyong Nitisaroj and Mr. Ziriwat Anunkusri in illegaly purchasing STPI shares through Mr. Ziriwat?s trading
Mr. Yanyong Nitisaroj On April 27, 2010, Mr. Yanyong Nitisaroj colluded with Mr. Choavalit Limpanich and Mr. Ziriwat Anunkusri in illegally purchasing STPI shares through Mr. Ziriwat?s trading
Mr. Ziriwat Anunkusri On April 27, 2010, Mr. Ziriwat Anunkusri colluded with Mr. Choavalit Limpanich and Mr. Yanyong Nitisaroj in illegally purchasing STPI shares through his trading account that Mr
Mr. Ekkamon Chuntori On August 22, 2012, Mr. Ekkamon Chuntori aided and abetted Mr. Surasak Chuntori in purchasing 75,000 ordinary shares of Siam Global House Public Company Limited (“GLOBAL
Mr. Somsak Chiarawisithkul On April 19, 2013, Mr. Somsak Chiarawisithkul aided and abetted Mr. Pittaya Jearavisitkul in purchasing 7,500 shares of Siam Makro Public Company Limited (MAKRO) through
Miss Areeya Asvanund On April 12 and 18, 2013, Miss Areeya Asvanund aided and abetted Mr. Athueck Asvanund in purchasing 6,000 shares of Siam Makro Public Company Limited (MAKRO) through her
Miss Kunnatee Suriyawanakul During June 29, 2012 - August 23, 2012, Miss Kunnatee Suriyawanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 6,220,000 ordinary shares and 3,500,700