Division Central Treasury Department – Finance and Control Division KASIKORN BUSINESS- TECHNOLOGY GROUP Internal Audit Audit Division Audit Committee Risk Oversight Committee Operating Committee Credit Risk

) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11

clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients

due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary

-Process (KYP) due diligence. This is to ensure that clients who are foreign securities companies acknowledge and understand the relevant regulations and effectively communicate these regulations to their

environmental action plan in place. Additionally, they must communicate progress on these matters to investors according to specified criteria.  2. To strengthen the roles and responsibilities of AMCs: In

SEC, thus providing basic information for investors’ decision making and self-protection against capital market frauds. The mobile app is also a convenient channel for the SEC to communicate and keep

oversight and secure application of digital technologies.  The ISACA – Bangkok Chapter will render cooperation in creating readiness of capital

an ICO portal would be repealed in order that the oversight of digital asset offering would be suitable for the risks associated with the digital assets to be offered;With regard to the supervision

Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Mutual Fund Cross-border Offering of Funds Business Operators