comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
the Department of Business Development Re. Mandatory Summary Items in a Financial Statement , and shall be: (1) a securities company which obtains a securities business license in the category of
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
Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment
comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better
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
committee (if any) and its responsibilities. 4. Inspection results on the quality control system (if any) In the case that an internal department of the audit firm, an independent agency, or a network firm
knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development
สะท้อนให้เห็นถึงเจตนารมณ์ในการพัฒนาธุรกิจที่คำนึงถึงประเด็นด้านสิ่งแวดล้อม สังคม และบรรษัทภิบาล หรือ ESG นอกจากนี้ บริษัทควรกำหนดนโยบายให้สอดคล้องกับเป้าหมายการพัฒนาที่ยั่งยืน (Sustainable Development