exchange indices rebounded shortly afterward. Campaigning for better corporate governance was a highlight of 2006. Practical and proactive measures were introduced throughout the year, especially in the area
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
and international levels long before that. In Thailand, His Majesty the King’s initiative of the Philosophy of Sufficiency Economy has been introduced to the public and applied to all economic levels
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker . Clause 8 The derivatives broker shall put in place an efficient risk system for the management