Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business
on effective, timely and predictive integrated risk management (IRM), improved customer service, internal operation efficiency, and maximized resource utilization. We remain committed to efficient
ธุรกิจเพื่อความยั่งยืน 25 4. การวิเคราะห์และคำอธิบายของฝ่ายจัดการ 38 (Management Discussion and Analysis: MD&A) 5. ข้อมูลทั่วไปและข้อมูลสำคัญอื่น 40 ส่วนที่ 2 การกำกับดูแลกิจการ 6. นโยบายการกำกับดูแลกิจการ
legally qualified, to take part in the management and administration of the Company. Therefore, it is an investment with the intention to hold the shares of the Company in a long run, rather than to
อธิบายของฝ่ายจดัการ 38 (Management Discussion and Analysis: MD&A) 5. ขอ้มูลทัว่ไปและขอ้มูลส าคญัอ่ืน 40 ส่วนท่ี 2 กำรก ำกบัดูแลกจิกำร 6. นโยบายการก ากบัดูแลกิจการ 42 7. โครงสร้างการก ากบัดูแลกิจการ และขอ้
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
and management of data and big data, which could help to develop, improve, and elevate internal data governance to support high-quality, secure data management and increase efficiency. The event took
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of