Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders
. ๒๕๖๖ (นางพรอนงค์ บุษราตระกูล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ประธานกรรมการ คณะกรรมการกำกับตลาดทุน SEC Classification : ใช้ภายใน (Internal) SEC Classification : ใช้ภายใน
Governance through Responsible Data" at the SET Sustainability Forum 1/2024: Grounding Greater Governance for Good along with Ms. Wiyada Wiboonsirichai, Head of Global Internal Audit and Compliance, Banpu
activities with another foreign digital asset trading platform and allowing payment for the transactions made in Thai baht through Prompt Pay and Thai QR. Such provision of services may be deemed the
provide clarification on this matter with prompt rectification. For the benefits of EIC shareholders, he is also notified to disclose such rectification to EIC for further dissemination through the SET
เงิน (บริษัท) 3 9 75 ที่ปรึกษาทางการเงิน (ผู้ควบคุมการปฏิบัติงาน) (คน) 52 35 408 ผู้สอบบัญชี (คน) 28 25 239 _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal) ผู้ประกอบวิชาชีพอิสระ