for public offerings. Also a concern at the initial stage of development was the overlapped market supervision under the authority of multiple agencies as seen in the following areas: Securities
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
specific law as specified by the SEC and published in the Government Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private
Gazette; or (6) newly established limited company or public limited company to undertake securities business in the category of private fund management under this Ministerial Regulation whose shares are
commences does not deprives the shareholders of their rights under Section 105 of the Public Limited Companies Act, provided that the shareholders holding at least one third of the total shares sold propose
governance practices and providing support for listed company’s directors and executives in creating sustainable growth. CSR in process: Listed companies operate with social and environmental concern and
Licensees Approval Date 1 THE HONGKONG AND SHANGHAI BANGKING CORPORATION LIMITED 17 April 2002 2 BANG OF AYUDHYA PUBLIC COMPANY LIMITED 16 October 2003 3 DEUTSCHE BANK AG BANGKOK BRANCH 15 July 2004 4
TMBThanachart Bank Public Company Limited 3000 Phahon Yothin Rd., Chom Phon, Chatuchak, Bangkok 10900 August 27, 2004 4 Bank of Ayudhya Public Company Limited 1222 Rama III Road Bang Phongphang Yan Nawa Bangkok
advisor. (5) Directors, managers, the executives of the investment banking unit adhering to professional code of ethics of financial advisor, integrity, and commitment to going-concern business; having