supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC;     (5)  Improving guidelines for supervising compliance of securities brokers and dealers of non

) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged https://publish.sec.or.th/nrs/8617pe.doc

://publish.sec.or.th/nrs/3890pe.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business

SEC for such digital token offering. The investing public is strongly advised to be careful with the solicitation of this ICO because it may not be in compliance with the governing rules, for example

fund 4.1 A mutual fund management company shall prepare the financial statements of the mutual fund in compliance with the accounting standards prescribed by related regulations on accounting.  The

party because it is required to communicate about non-compliance with laws and regulations (NOCLAR) committed by a client to the appropriate regulator; - The firm may consider the network firm as a

firms in the capital market, and regularly inspects and issues inspection https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9346 SEC reveals non-compliance of EIC tender offer price Bangkok, January

oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws related to the company business. 2

. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty