information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel

. Balance at end 25x1 x x x x x x x (x) x x /1In case of the company have both ordinary share and preferred share, it shall separate ordinary share and preferred share. And in case of having both a surplus

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under

Consolidated assets (THB) Consolidated income (THB) Consolidated net profit (loss) (THB) Separate assets (THB) Separate income (THB) Separate net profit (loss) (THB) Audit fee (THB) Other fees Auditor’s opinions

internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel

that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to

the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty