1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in

or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system

actions taken were as follows: Board of Directors Risk Management and Control Units Enterprise Risk Management Division  Approve risk appetite and all risk management policies and guidelines  Oversee

27 October 2020 At: ACC/HO 019/63 Re: Management Discussion and Analysis for the Quarter of 3/2020 To: President The Stock Exchange of Thailand During the third quarter of 2020 the Coronavirus 2019

ซื้อขายหน่วยลงทุน (Selling Agent) ระบบที่เกี่ยวข้องกับการรับคำสั่งซื้อขายหน่วยลงทุนจากลูกค้า [บลจ.] การจัดการกองทุนรวม / การจัดการกองทุนส่วนบุคคล ระบบจัดการกองทุน (Portfolio Management) ระบบที่เกี่ยวข้อง

stable QoQ. Return on Asset stood at 13.9% which increased from 2Q18. This resulted of efficiency in ARPU management and cost effective control. Return on Equity stood at 46.0%, increasing from 2Q18, due

shareholder.  Management control remained (CCET’s management seats remains): since the board of directors of CCPH shall still remains 5 seats including Mr. Shen, Shyh-Yong, the vice chairman of the Company and

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

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