(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines
securities business in the category of investment management. Clause 4 The prospectus shall provide accurate, complete and adequate 3 information for investment decisions by having characteristics and
attendance For a purpose of considering the renewal of approval for investor contacts, the Contacts and the organizer must keep the following relevant evidence: 5.1 The Contacts – the complete evidence in full
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
complete information to the marketplace and the CRAs they solicit to provide credit ratings. While aspects of the IOSCO CRA Code deal with a investor protection by safeguarding the integrity of the credit
Healthcare Center Co.,, Ltd. - a subsidiary of the Company and Wuttisak Clinic Inter Group Co., Ltd. – an indirect subsidiary of E FOR L Aim Public Co., Ltd. had been complete; and further progress shall be
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
report and the amended financial statements was 6 February 2017. KC requested an extension to the deadline of the special audit report to allow more time to complete the examination and review of all
the company’s related employees for effective and complete preparedness to ensure that KLeasing will be able to conduct business in strict compliance with laws. 5 Market Conduct The Bank of Thailand