obtaining facts relating to such circumstances to be in accordance with the Code of Ethics for Professional Accountants and Provisions of the Law on Professional Accountants, such as the Thai Standards on

3 POLICY & PROCEDURE SocialEnvironment Governance Sustainable Development Policy ▪ CG Policy ▪ Business ethics manual ▪ Anti-corruption ▪ Vendor Code of Conduct ▪ Tax policy ▪ Human rights Policy o

Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics

Market Advisory Board violated section 113 of the Securities and Exchange Act B.E. 2535. Bualuang Securities used 3 accounts of asset management companies for the benefit of other customer. SEC Act S

, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to a sufficient and effective compliance system which may cause serious damage to the benefit of the

increase due to the fluctuation of raw material price that remain high during our financial year. The direction of raw material price started to decline at the end of financial year and expects to benefit

trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities

43.99 million which resulted in TUCC’s Baht 104.86 million loss in Q2/2011. Mr. Yongyuth also gained the benefit from his suggestion. He gained such material non-public information by virtue of his

draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients

similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair