SEC is empowered to take any of the following actions, as the case maybe: (1) Administrative Actions, (2) Criminal Actions, and (3) Civil Sanctions A flowchart of Procedure for Investigation and

. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor

3 POLICY & PROCEDURE SocialEnvironment Governance Sustainable Development Policy ▪ CG Policy ▪ Business ethics manual ▪ Anti-corruption ▪ Vendor Code of Conduct ▪ Tax policy ▪ Human rights Policy o

Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional

of mutual fund Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation

defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed

issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a

Procedures in a case of defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional

shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules

Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules for foreign