conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
business to demonstrate the availability of system to prevent conflict of interest, system to prevent leakage of information among working units and personnel, risk management system, operational management
availability of system to prevent conflict of interest, system to prevent leakage of information among working units and personnel, risk management system, operational management and internal audit and control
จดัใหมี้สายงานบริหาร ความเสียง (risk management function) เป็นตน้ นอกจากนี แมว้า่หลกัเกณฑใ์นปัจจุบนัจะมีการกาํหนด หลกัเกณฑเ์กียวกบัการกาํกบัดูแลดา้นต่าง ๆ ไวแ้ลว้ อาทิ คุณภาพของกระบวนการจดัอนัดบัควา
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
provident funds, setting up with the objective for retirement savings, from high risk exposure. This aims to allow management companies to take position as counterparties in derivatives transactions for
asset management companies. In addition, this initiative encourages the disclosure of sustainability-related information of sustainable fund according to SRI Fund standards which helps to reduce the risk
Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation