cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given

and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of

International Business from Wharton School, University of Pennsylvania, USA and a Bachelor of Economics (First Class Honors) from Thammasat University. Prior to his current appointments, he was Deputy Commerce

evidence during a planning phase and a substantive test phase, especially in the audit of revenue, risk assessment and response to the risk of fraud. In this regard, the SEC will support and closely monitor

Liabilities Amount (THB million) Short-term loans from financial institutions 230 Accrued expenses 57 Other current liabilities 25 Other non-current liabilities 38 2.4 Indebtedness to be incurred in the future

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

Trade before taking current office. Mr. Chaiyawat Wibulswasdi A financial expert member of the Board, he obtained a B.A. in Economics from Williams College and a Ph.D. from Massachusetts Institute of

disclosing or managing conflicts of interest. SOEs are audited by the Office of Auditor General (OAG), a state auditor with limited capabilities to audit statements prepared in accordance with current

will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities

which it uses clients’ money to deposit or invest under clause 7 at least on every working days provided that the price used shall reflect current market value of each type of 2 Amended by the