our staff and customers remains our top priority. The Company constantly evaluate the situation and take proactive action to manage up-to-date under condition that are changing rapidly by aware of the
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
General Regulations for Operation as Derivatives Exchange __________________ Clause 6 A derivatives exchange shall have sufficient funding to support its operation and manage potential risks from their
all 5 steps Pre-Listing & Listing Trade Surveillance Ongoing Obligations Escalation to Public Delisting1 2 3 4 5 Revise qualifications of companies to be listed on SET and mai Require consistent
order, the timing, price or quantity of the order or how to manage the order after its submission, with limited or no human intervention.1 • Algorithmic trading, program trading, automated trading, and
actively promote good governance and strengthen market surveillance. As 2004 also marked the conclusion of this government’s first term, looking back, it has been a productive four-year period. Several goals
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
reported earnings objective - to avoid loss - to increases in annually earnings - to meet analysts’ earnings forecasts 4 Motivations to Manage Earnings Internal factors External factors Firm’s