22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing representatives (Section 18
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
reporting, losses of assets, corruptions, management override of internal controls, manipulations on important financial information, unauthorized acquisition or disposition of assets etc. 8.2 The company
Derivatives Businesses/ Assets Reference is made to the disclosure made by Indorama Ventures Public Company Limited (the “Company” or “IVL”) on 8th August 2019 regarding the acquisition of certain integrated
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
, and must organize a good internal control system for the custody of client’s assets. Such system must at https://publish.sec.or.th/nrs/2831pe.doc Translation calculating net asset value of fund or
good internal control system for the custody of client’s assets. Such system must at https://publish.sec.or.th/nrs/2831pe.doc Translation calculating net asset value of fund or securities-clearing (back
custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b