are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct

criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards

acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty

, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and reliable information, documents or

, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii

operation of company or arising from regular operation of the company, including other activities related to the business operation or carry out of such work. In a case of having a net loss, it shall

, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s