governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
financial reporting system and promote sustainable growth of the capital market. Regarding the supervision of audit quality, the SEC found that the inspection results of audit firms’ quality control system
ความเสี่ยง (risk treatment) (5) การจัดทำทะเบียนความเสี่ยง (risk register) (6) การติดตามและทบทวนความเสี่ยง (risk monitor and review) (7) การรายงานความเสี่ยง (risk reporting) N/A Yes/Partial/No N/A N/A N/A
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
define the roles and responsibilities of management and monitor management’s proper performance of its duties. Guidelines 1.4.1 The board should adopt a written policy (such as a charter) that clearly
to monitor the situation closely in order to conduct the appropriate measures. For more details, please see section “COVID-19: Impacts and Response Plan” 1Q 2020 PERFORMANCE 1Q 2020 P&L SNAPSHOT AND
sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020