of the auditor’s work (paragraph........); ( 4.4.3 limitations imposed by management (paragraph........). · 5. Have emphasis of matter paragraphs resulting from (can choose more than one): ( 5.1 An

No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6

investment decision accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by

decisions accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by giving an

) “ analysis of securities investment ” means an analysis of data relating to securities , for the purpose of giving advice or publishing , whether directly or indirectly, on the value of securities or

selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

business to demonstrate the availability of system to prevent conflict of interest, system to prevent leakage of information among working units and personnel, risk management system, operational management

. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company