are sufficient and correct before forwarding them to the Board of Directors for consideration. - Review the internal control system to oversee that the internal audit procedures are adequate

PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1 สงิหาคม 2565 การสรา้ง/จดัเตรยีมค าขอ-แบบรายงาน SEC Classification : ใชภ้ายใน (Internal) 2©Copyright เลอืกบรษิทัทีต่อ้งการยืน่ค าขอ

Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.

and innovation to enhance developmental efficiency, supervision and investor protection appropriately in all aspects. Regarding digital assets, SEC must closely monitor and supervise digital asset

Companies (AIMC), and the Thai Investors Association (TIA). Moreover, the SEC has set the directions for enhancing supervision on information disclosure of listed companies and on performance of duties of

In addition, there will be three director-level switches, namely:  1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management

. Units and unitholders information 8. Management structure 9. REIT supervision 10. Social responsibilities 11. Internal control and risk management 12. Preventive measures against conflicts of interest

PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1 สงิหาคม 2565 การเตรยีมการของผูจ้ดัเตรยีมค าขอ/ แบบรายงาน และเจา้หนา้ทีป่ฏบิตักิาร SEC Classification : ใชภ้ายใน (Internal) 2

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

staffs, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator