UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

the website of the SEC Office: (a) certifying that such audit firm has a audit quality control system under Clause 11(1) and giving consent for an inspection by a representative of the SEC Office; (b

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance

in Thailand to the highest level in line with international standards.  IFAIR conducted this survey for the first time with the objective to identify the level of inspection activity and common

ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by the board

, code of ethics and professional standards. In this regards, the compliance officer and compliance unit shall be independent from other units: (b) determine the annual inspection plan which is approved by

annual inspection plan which is approved by the board of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and

first MOA is for cooperation in monitoring and oversight of fund mobilizing companies or capital market business operators, entering the rehabilitation process or involved in a bankruptcy case pursuant to