function relating to trustee services, trustee operation, oversight of trustee operation or other similar business functions; (b) Business function relating to securities services, securities operation

Classification : ใชภ้ายใน (Internal) Table of Contents Page Part 1: Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business

this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager” means a person assigned by director of a

Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business

Use of Securities Business for Money Laundering and Financing of Terrorism _____________ By virtue of (1) Clause 4(2) of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543

the executives and employees that could cause conflicts of interest with the business; and prohibitions on corruptions which will cause damages to the organization2. 1.2.3 Appropriate penalties in the

: ________________________________________ 12) Home Regulator of the CIS Operator: ________________________________________ 13) Address of principal place of business: _______________________________________

of digital technology, which has shaped a new trend of consumption amid intensified borderless business competition via digital channel. To brace for these numerous challenges, KBank prioritizes the

Division Central Treasury Department – Finance and Control Division KASIKORN BUSINESS- TECHNOLOGY GROUP Internal Audit Audit Division Audit Committee Risk Oversight Committee Operating Committee Credit Risk

Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify