access inside information of a securities issuer and those who have an opportunity to make use of such inside information; (4) clear scope of authority, duty and responsibility of directors, executives and
institution as the highest rank persons with managerial authority who are capable of management, ethical, honest, understand and responsible for business undertaking; (4) having determined clear scope of
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into
inside information regarding securities issuers; (4) clear scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least
Building Confidence in the Capital Market No. 179/2014 SEC notifies ABC to rectify Q3/2014 financial statements Bangkok, December 17, 2014 – The SEC notified Asset Bright Plc. (ABC) to rectify its Q3
still expanding and has a bright future as well as continue to seek stability, safety and consider to all interested persons. Please be informed accordingly. Sincerely Yours, Mr.Thakoon Boonparn Managing
5. A derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The
unit responsible for custody of private fund assets shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling