The Securities and Exchange Commission (SEC), represented by Ms. Winita Kultangwatana, Director of the Sustainable Development Department, participated in the 6th Annual ESG Assessment of Thai
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
numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
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
guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the
assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9
the Notification No. Tor Thor. 60/2561, the intermediary shall submit an application for approval to the SEC Office together with the evidentiary documentation specified in the Licensing Manual for the
documents in full according to the procedures specified in the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or filled up at the