access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its

Transactions Act B.E. 2544 (2001), etc.; and 8. The Applicant has studied, acknowledged and understood the Personal Data Protection Policy for internal administration (as disclosed on the SEC Office’s website

contributions to social and environmental issues and in their SEC’s 56-1 One Report Disclosures.The SDG Impact Standards are voluntary internal management standards designed to help businesses and investors embed

advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company

1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in

or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1

approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for