appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the

, and appropriate internal supervision system. Moreover, the systems must be compatible with the additional technology apart from the regulations in standard criteria for conducting business. The

officials or make an appointment for consultation service at SEC office without any charge.”Simultaneously, SEC has also improved its internal work process in receiving information, clues and complaints

SEC Classification : ใชภ้ายใน (Internal) รายงานผลการดำเนินการเพื่อส่งเสริมคุณธรรมและความโปร่งใสภายในหน่วยงาน ปี 2566 สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย ์ โครงการ/ กิจกรรม มาตรการ ช่วง

)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements

Company Limited (100%)       Date of Transaction Within April 2018 Source of Funds Internal cash flow Objective of investment 1. To invest in Smart Vending Machines (SMV) project 2. Internal financial

| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents

Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of

ภายใน (Internal) Questionnaire_B B Communication within https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx OFFER_DEBENT_EN.xlsx Electrical Products and Computer 08 Energy and Utilities 23,323.60 7 09

internal control system; (2) reviewing the financial report and financial information of the SEC Office; (3) coordinating with the Office of the Auditor General of Thailand in the matter of auditing https