for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess

from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden

to consider the necessity for activities involving large gathering of people, which may cause risks of person-to-person transmission. The Company has been closely monitoring the situation and is

transmission of the virus. The company has been closely monitoring the epidemic situation. The company is concerned that the General Meeting of Shareholders at this time, the company will not be able to

monitor the aggregate limit, since tokens can be transferred globally and directly among mailto:aunchisa@sec.or.th mailto:archari@sec.or.th aunchisa Underline aunchisa Line aunchisa Typewriter January 22

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)

anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this Notification, the anti-money laundering legislations

6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this

measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of