reporting Social responsibility As “corporate social responsibility” is a broad term, disclosure of information on this matter may be outlined according to the eight principles prescribed by the Stock

the responsibility and capable of persuading the directors and executives to drive the organization’s operation toward both short-term and long-term goals, and comparable to the industry’s practice or

equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and sufficient information that should be informed

obstructs or fails to comply with the order of or fails to give assistance to the competent official who executes his duty under Section 62 shall be liable to imprisonment for a term not exceeding one year or

on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both

Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate

arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the

the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an

for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. _____________ Notification of the

securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19