2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required to be performed

statement (Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties

56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory Board as a result of his failure to order or act in accordance with duties required

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

Company Name Licensee Type Status Company Name : Licensee Type : Score Type : Anti-Corruption Status : Certified by CAC Declared to join CAC Ensure its compliance by parent company Assessment Type : Status

บริษัท เคดับบลิวไอ ประกันชีวิต จำกัด (มหาชน) บริษัท เคดับบลิวไอ ประกันชีวิต จำกัด (มหาชน) ("KWI") รายงานการแต่งตั้งการดำรงตำแหน่งผู้รับผิดชอบสูงสุดในหน่วยงานกำกับดูแล (Head of Compliance : "HoC") ราย

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC

contravention of securities companies? standards of internal control and compliance practices as prescribed by Clause 11(2) of the SEC Notification SorKhor No. 15/2548 Re: Approval of Investor Contacts and

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

materially high volume. {A}'s conducts were deemed trading securities on behalf of the client using his own decision, which was an interference with client's assets and non-compliance with standards of conduct