securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
connection of the Code with the vision, objectives, goals or strategy which leads to creation of values in the organization, and clarify the process supporting the compliance of the Board of Directors, the
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
ตลาดหลักทรัพย์ ที่ สน. 41/2560 เรื่อง การเปิดเผยการปฏิบัติตามหลักธรรมาภิบาลการลงทุนสำหรับ ผู้ลงทุนสถาบัน (Investment Governance Code for Institutional Investors) ลงวันที่ 3 สิงหาคม พ.ศ. 2560 เพื่อกำหนดหลักเกณฑ์
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature