Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the