May 2017
• Company background
• Vision
• Why Asia Wealth Securities?
• Shareholding structure
• Board of Directors
• Organization structure
• Management committee
• Operating performance
• Full range of financial services
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• Name changed to “Asia Wealth Securities Co., Ltd.” (Licenses
formerly belonged to CIMB-GK (Thailand) Co., Ltd. 09 Jul 2013
• Obtained a Brokerage License and Underwriting License from
the Office of S.E.C21 Oct 2013
• First day for securities trading operations18 Nov 2013
• First day of derivatives trading operations18 Dec 2013
• Obtained a Financial Advisory License 07 Feb 2014
• Received a Securities Borrowing and Lending (SBL) License02 Apr 2014
• Obtained a Private Fund License11 Jun 2014
• To become a leading regional broker that creates and protects customers’
and investors’ wealth through our excellent services and good corporate
governance
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Customers
Staff
Society
ShareholdersAsia Wealth’s
Responsibilities
• Each of our management team possesses more than 20 years of experience
and proven track records in the Thai capital market.
• Our professional marketing team is ready to use their extensive experience
and knowledge to make investing a good experience for our customers and
investors.
• We offer a full-line of investment products that match the needs of investors
through their entire economic lifecycle and lifestyle.
• We have invested in the world’s latest and widely-accepted technology for the
sake of convenience and confidence of our customers and investors.
• We emphasize creativity and innovation in new financial products to provide
our customers and investors with investment alternatives and appropriate
returns.5
6Remarks : Data as of May 2017
Asia Wealth Holding Co., Ltd. - AWH100% shareholding
Asia Wealth Securities Co., Ltd. - AWS
(Registered capital of 830 MB – fully paid)
Mr. Kamthorn Tatiyakavee
Authorized Director
Director and President,President Holding Co., Ltd.
Mr. Korn Chotjiraphat
Authorized Director
Managing Director, Marketing Division,
Asia Wealth Securities Co., Ltd.
Mr. Surathian Chakthranont
Director
Director
WHA Corporation Public Co., Ltd.
Mrs. Nonglak Virameteekul
Authorized Director
Chairman,
M Thai Industrial Co., Ltd.
Ms. Jareeporn Jarukornsakul
Authorized Director
Vice-chairman of Board of Directors, Director, and
Chief Executive Officer
WHA Corporation Public Co., Ltd.
Ms. Kaewjai Pha-oenchoke
Authorized Director
Chief Executive Officer,
Thai VP Corporation Ltd.
Dr. Somyos Anantaprayoon
Authorized Director
Chairman of Board of Directors and Director,
WHA Corporation Public Co., Ltd.
Dr. Pranee Pha-oenchoke
Authorized Director
President, Thai Rung Union Cars
Public Co., Ltd.
Dr. Ronnachit Mahattanapreut
Director
Senior Vice President, Finance & Administration
Central Plaza Hotel Public Co., Ltd.
Dr. Manu LeopairoteChairman
Mr. Surachai Danaitangtrakul
Director
Chairman – Government Housing Bank
Director - KTB Leasing
Board member – Thai Samsung Life Insurance.
Independent Director - Sahapatana Inter-holding
Mr.Saringkarn SutaschutoCEO
Organization Structure : Asia Wealth Securities Company Limited (Update as of December 26, 2016)
Chief Management OfficeBusiness Development
Securities Borrowing Information Technology
Human Resources
Administration
Operation
Credit Control
Accounting
Finance & Budgeting
Marketing 6
Marketing 1
Marketing 2
Marketing 3
Marketing 4 Wealth Support
Marketing 5
Operation - Wealth
Private Fund Investment
Wealth Advisor Data Support
Chief Operation OfficeChief Accounting &
Financial Office
Wealth Engineer Technical Analysis
Wealth Research &
DesignFundamental Analysis
Compliance
Investment Committee Private
Fund CEO OfficeAudit
Marketing Wealth Management Investment Banking Research
Private Fund - Risk
Management CommitteeRisk Management Committee
Chief Executive Office Compliance & Audit Risk Management
Advisory Board Board of Director Audit Committee
Complaints Review Committee
Management Committee Investment Committee
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Mr.Saringkarn Sutaschuto
Chief Executive Officer
Marketing Div., Brokerage Business
Mr. Chayant Akrathit
Executive Director
Mr. Prajuab Siriratbunkajorn
Executive Director
Ms. Chayanee Pokun-Ngern
Executive Director
Investment Banking Div.
Research Div.
Mr. Paitoon Thamrongkittikul
Executive Director
Mr. Warut Sivasariyanon
Managing Director
Mr. Korn Chotjiraphat
Executive Director
Ms. Chanya Rattanaprapakul
Managing Director
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• Asia Wealth Securities (AWS) officially started securities trading business in Q4 /2013 with a
market share of 0.1% and continued to grow until now. In Q2/2017, AWS had a market share
of 4.11%, ranked # 9 among 36 brokers.
0.1
0.91
2.89 3.06 2.98 3.053.35
3.584.04 4.00
3.72
2.61
2.05 2.21
4.11
00.5
11.5
22.5
33.5
44.5
Market Share (Equity) (%) : Quarterly basis since Q4/2013 to Q2/2017
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• Asia Wealth Securities (AWS) officially started TFEX trading business in Q4 /2013. In
Q2/2017, AWS had a market share of 2.68%, ranked # 13 among 44 brokers.
0
1.58
2.83
2.17
1.451.66 1.59
1.09 1.15
1.711.92
2.44
1.6
2.77 2.68
0
0.5
1
1.5
2
2.5
3
Market Share (TFEX) (%) : Quarterly basis since Q4/2013 to Q2/2017
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Lead underwriter for Initial Public Offering (IPO)
• Raja Ferry Port PCL (RP) on the mai
Co-underwriters for Initial Public Offering (IPO)
• Salee Printing PCL. (SLP)
• N.D. Rubber PCL. (NDR)
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Co-Underwriters for Initial Public Offering (IPO)
• ALT Telecom PCL. (ALT) on the SET
• Megachem (Thailand) PCL. (MGT) on the mai
Co-Lead Underwriter for Initial Public Offering (IPO)
• Eastern Technical Engineering PCL. (ETE) on the mai
• Besides, we have been appointed as the Financial Advisor of at least
15 companies in Construction Materials and Telecom sectors to
prepare for listing on the SET and mai.
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Securities and
Derivatives Trading
SBL
Online securities & TFEX
trading
Research reports
Wealth Management Mutual funds
Private fund
IB / FA
Debentures and B/E
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• Historical information service from SET (for the past 5 years)
• Online news and information of stocks and derivative
investment for fundamental analysis
• Online news and information of stocks and graph for
technical analysis
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Free services for our valuable clients
Easy login with “Single Sign on”
Simply register for our online service at
www.asiawealth.co.th
Save 2,000 ฿ / year
Save 10,000 ฿ / year
Save 8,640 ฿/year
• Support for SET trading through Windows and Smart Phone
• Support for SET and TFEX trading through Windows, Mac, and
Smart Phone
• Support for SET and TFEX trading through Windows
iTrade
Alternative Trading program
• TFEX has launched nine types of derivative products (Futures with 8 underlying assets and
Options with one underlying).
17Source: TFEX.co.th
• We provide securities and TFEX online trading through our “ ” service.
• We have real-time trading systems through various programs.
• We have investment support programs for your investment analysis and decision.
• We have alternative channels for you to contact us via our website & social media.
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iClick Aws www.aws.co.th Asia Wealth Securities Channel
iTrade
www.asiawealth.co.th
Securities borrowing and lending (SBL)
The transfer of securities during the period from one lender to the borrower. The
borrower agrees to transfer the securities back to the lender on the due date of the
contract. To prevent the risk of the borrower being unable to deliver the securities
lending fee, the borrower has agreed to transfer collateral to the lender. This could be
either cash or securities.
Increased investment opportunity during volatile market and market downtrend
SBL is an alternative service for investors with high risk but it can enhance
opportunities for investors to receive a higher return.
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• We are ready to enhance your investment decisions with our fundamental and
technical research reports written by our highly experienced research team.
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Daily Market Outlook
Strategy Report
Technical Express Report
Derivative Index Futures Report
Company Report
Sector Report
Market Monitor
Research
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Investment Consultant For high net worth individuals and corporate clients
Portfolio Management Through our multi-investment tools
Portfolio SolutionFor your portfolio adjustment
Life Cycle Solution For your individual lifestyle
Asset Allocation Based on your investment theme with your core portfolio and satellite portfolio
• We have mutual funds services through our affiliate, Asia Wealth Fund
Management (AWAM), which is the selling agent of mutual funds for 18 fund
management companies.
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• Private Fund is a type of privilege investment that allows investors to allocate their
wealth privately or participate in investment policy decisions according to their
objectives, conditions and limitations of interest. Investors will receive close
assistance from the specialist that will design an appropriate portfolio and plan a
flexible strategy to suit changes in the market for any situation, in order to meet the
needs of the investor and maximize their wealth under acceptable risks and
regulations of the Securities and Exchange Commission (SEC).
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Initial Public
Offering (IPO)
Debt Financing /
Debt
RestructuringPrivate
Placement
(Listed and Non-
listed Companies
Merger &
Acquisition (M&A)
Joint Venture (JV)
(Listed and Non-
listed Companies)
REIT
Infrastructure
Fund
Backdoor Listing /
Reverse Takeover
• We provide good quality debentures and B/E for our clients
through our selection process with our Wealth Research & Design
team, Wealth Committee, and Risk Committee.
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540, 7th , 14th, 17th Floor Mercury Tower
Ploenchit Road, Pathumwan, Bangkok 10120
Asia Wealth Call Center +66 2680-5000
www.asiawealth.co.th26
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