performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office
will not only benefit investor contacts in their performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to
the service provider intends to assign another party to be a subcontractor at any level, the service provider shall obtain a written consent from the intermediary prior the assignment. Clause 22 In the
compliance function also should be responsible for reviewing the adequacy . c. The CRA should assign a senior level employee with the requisite skill set to serve as the ng operations. A-9 1.24 Upon becoming
operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision of the
by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a mutual understanding that the information is shared confidentially. The Principles are high-level
in the Information Memorandum of Connected Transaction of We Retail Public Company Limited attached to this letter. Moreover, the Board of Directors Meeting of the Company had resolved to assign Mr
directors to be the highest level responsible person in the management of a company. “head of department” means a person responsible for the work in the departmental level of a company. “branch manager” means