defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having obtained exemption from the SEC Office. Clause 8 The granting

(8) having not been ordered by the SEC Office to adjust the defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having

defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having obtained exemption from the SEC Office. Clause 8 The granting

defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having obtained exemption from the SEC Office. Clause 8 The granting

decision for clients; (3) controlling, supervising and managing business units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in capital

units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in capital market products, financial instruments or other specified assets; (5

intermediary ’s branch office; (3) controlling, supervising and managing business units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in

units relating to operational function, compliance function, internal audit or risk management; 5 (4) managing investment in capital market products, financial instruments or other specified assets; (5

Business (No. 3) B.E. 2555 9 (b) policy and effective measures for preventing conflict of interests, learning of inside information between units and personnel, internal control and risk management for

IFRS Club and the Thai Bankers’ Association. For our internal management, we have expedited development and improvement of database and the design of work system and IT structure in 7 order to