monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in

and internal parties, for example, submission of incident reports to the SEC Office upon an occurrence of an event that affects the IT systems or monitoring of the service provider to ensure that its

Market Advisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

sustainability management as the Company deems appropriate. The policy and guidelines may be disclosed in full via the Company’s website to give investors an understanding and a guideline for further monitoring

holding or non-holding company, is required to disclose material information in the following matters: (1) Monitoring system for the board of directors to oversee the management and operation of the

, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment

regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital

advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป