Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
involved agreed with the principles proposed by the SEC and added the principle of flexibility, in order that the business operators will be able to put this into practice effectively. The public hearing
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
the capital market were taken care of to ensure that they would be able to continue functioning seamlessly. In this regard, building a quality financial reporting system in compliance with international
upward trend with 194,193 million baht worth of new securities issued during the year. Although it was inevitably affected by the September 11th incident in the U.S., the market was able to quickly recover
assignment and the alignment of strategy to maintain competent and capable staff with the firms. Therefore, audit firms should analyze and identify causes of staff resignation within its firm and improve human
managers incorporate sustainability factors in their investment process. Consequently, investors may not be able to compare between mutual funds with similar sustainability mandates and, as a result, may
appointments are staggered and made independent from the political calendar, they can further enhance independence. These bodies should be able to pursue their functions without conflicts of G20/OECD PRINCIPLES
_____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to operate business efficiently, responsibly and in
order to be capable to operate business efficiently, responsibly and in compliance with applicable laws and regulations, including relevant standards of business operation. In considering appropriateness