แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary

acceptable, if they work at an auditing firm approved by SEC. SEC Secretary-General Ruenvadee Suwanmongkol stated that “In June 2019, SEC for the first time considered allowing SMEs and startups to make

information between work units and personnel of the securities company . In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work

of directors or the executive board of directors of the securities company. Clause 5 A securities company shall establish measures for preventing an access to insider information between work units and

firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders

การรับฟังความคิดเห็นการปรับปรุงหลักการและร่างประกาศเกี่ยวกับการรับคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนนอกสถานที่ทำการ (Work from Home)

information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel

issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for

take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for contacting, soliciting or giving advice on securities investment for client from