plan, focusing on provision of knowledge and environmental, social and governance (ESG) compliance, at both the national and international level, including analysis, comparison and assessment of KBank

state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes

Corruption (CAC) On 7th June 2018, GPSC has received a certificate in compliance with criteria of CAC that the company has policies and practices to prevent corruption within the organization in accordance

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

appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional

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