adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

the TIA in the following projects, (1) Annual General/Extraordinary Shareholders’ Meeting Assessment Project and (2) Annual General/Extraordinary Meeting Assessment Project for (2.1) unitholders of

application for change of information in Company Account to the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the

1. Basic info แบบรายงานผลการตรวจสอบด้านเทคโนโลยีสารสนเทศและ แผนการปรับปรุงแก้ไขข้อบกพร่อง ("แบบรายงานผล IT audit") Version: 1/2566 Confidential ภายใต้ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และ

companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the

Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The

ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information

non-public information, operational rules for the prevention of the disclosure of confidential information should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the

/Assessment/ROSC_Thailand_web.pdf Principles of Corporate Governance - G20 version effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in

Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the