of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

system for controlling and preventing the use of inside information between its work units and personnel clearly: (a) the period where the intermediary prepares a report on securities analysis ; (b) within

least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized

as follows: (1) in cases where a trustee prepares an account of property and segregate the trust property in compliance with Section 34, the regulator under the law relating to the supervision of

reasonableness of the appraisal report in (b) whereby if the management company or the financial advisor also prepares a financial forecast on the infrastructure business showing the base case analysis and

the financial advisor who jointly prepares and certifies the Registration Statement to be appropriate and capable of making an appraisal that reflect the true value reliably and sufficiently. Such

and measures imposed on persons who fail to comply with the policy and guidelines. 6.2 Business code of conduct (if any) In the case where the Company prepares a business code of conduct, describe the

(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...