accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with

personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and exchange 4 , including regulations issued by virtue of such law in the part of

which supports the pursuit of the company’s objectives by considering appropriateness of business functions and legal requirement. There is, also effective internal control function. For example, there is

] the intermediary ’s personnel would be able to complete their functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including relevant

importance on supporting functions, which are in harmony with our business directions that focus on effective, timely and proactive integrated risk management (IRM), internal operation efficiency, maximized

.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the

ความเสี่ยง (Risk Management and Control Strategy) ในด้านต่าง ๆ ดังนี้ 5. ระบบควบคุมภายในและการกำกับดูแลการปฏิบัติงาน (Internal Audit and Compliance Functions) 6. มาตรการป้องกันความขัดแย้งทางผลประโยชน์

$!')'#+","O% &'O.% bK$ K.* %!!(.%#$#()* SET #+"O(\*( +M$% O* .%!#()*.!P(!#$!()* SET (\*O*"%#[/+ #$ SET O*) ()*#%N bK$O%(\%( &\ )' \% market education )M* &\%%N "OP% !#+"#$()* R% non-commercial functions

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Page 7 of 9 Form 35 – ARFP CIS Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the

.: __________________________ Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company 21) Is any function of the Hong Kong Covered Management Company delegated (and sub-delegated) to other