e-service Online Submission See canceled document Securities Underwriter Business >> Protection of Customer Assets (Section 98(3))   Type Title Section See Document Status Notified Date Effective Date

e-service Online Submission See canceled document Securities Dealer Business >> Compliance / Internal Control   Type Title Section See Document Status Notified Date Effective Date 1. Notification of

e-service Online Submission See canceled document Derivatives Agent >> Compliance / Internal control   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Dealer >> Compliance / Internal control   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

of good corporate governance (CG).  After listing, the supervisory mechanism will ensure that listed companies maintain their quality, operate business with integrity, have an internal control system

investigations into the case. With regard to investor rights protection, the SEC has rendered full support in coordinating and arranging discussions with the SET, the Association of Investment Management

Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets

) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and

The Securities and Exchange Commission (SEC), represented by Mrs. Sittasri Nakasiri, Assistant Secretary-General – Strategy and Planning, acting as Data Protection Officer (DPO), participated in