whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all

accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the

examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the notification of the Securities and

certainty and accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with

ดูแลการปฏิบัติงาน (“compliance unit”) ซึ่งมีบทบาทในการ ก ากับดูแลเพื่อให้บริษัทปฏิบัติตามกฎหมายได้อย่างถูกต้อง จึงมีส่วนส าคัญในการลดความเสี่ยงในด้าน กฎหมายแก่บริษัท และผู้บริหารของบริษัท ตลอดจนช่วยรักษา

e-service Online Submission See canceled document Securities Brokerage Business >> Compliance / Internal Control   Type Title Section See Document Status Notified Date Effective Date 1. Notification

e-service Online Submission See canceled document Securities Underwriter Business >> Compliance / Internal Control   Type Title Section See Document Status Notified Date Effective Date 1. Notification

e-service Online Submission See canceled document Securities Dealer Business >> Compliance / Internal Control   Type Title Section See Document Status Notified Date Effective Date 1. Notification of

e-service Online Submission See canceled document Derivatives Agent >> Compliance / Internal control   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Dealer >> Compliance / Internal control   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital