) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
The Securities and Exchange Commission (SEC), represented by Ms. Winita Kultangwatana, Director of the Sustainable Development Department, participated in the 6th Annual ESG Assessment of Thai
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
capital market regulatory agencies around the world. In 2018, we will participate in the Financial Sector Assessment Program, known as FSAP. This will ensure that the oversight system of the financial
of shareholder rights protection. Key projects included the Annual General Shareholders Meeting Assessment Program and the proposals for several amendments to the Securities and Exchange Act B.E. 2535
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as guidelines for investors to understand and monitor future business directions of
inspected by the SEC bear no deficiencies in this element thank to the tool supporting the firm to perform risk assessment and the thorough independence evaluation before accepting audit engagement. The
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the