client. • The safeguard of the access to workpapers is not robust enough, e.g. there is one instance whereby workpapers in soft copy is stored in the server of audit firm and is publicly accessible to

of the Securities and Exchange Commission. Clause 2 At least two fifths of the total number of directors of a derivatives exchange shall be persons capable of performing the duty to safeguard the

with its returns and risk appetite.  Risk management and control units are responsible for providing independent and objective views on specific risk-bearing activities to safeguard the integrity of the

objective views on specific risk-bearing activities to safeguard the integrity of the entire risk process, as well as controlling risk levels to ensure that they are in line with our risk appetite.  Internal

normal business operation (excluding profits from debt restructuring and other incomes) and cashflow from operation in a very low amount compared to total debts. There would also have potential actions to

stakeholders. Implementation in each area is as follows: Risk Management To safeguard against adverse impacts of market incidents or risks pertinent to market viability, the SEC Board laid out a policy and

corporate social responsibility. The implementation is categorized accordingly: ë Risk Management To safeguard the Thai capital market against adverse impacts of market incidents or risks pertinent to market

ที่เข้ำข่ำยข้อยกเว้นให้สำมำรถปฏิบัติงำนต่อไปได้อีก 2 ปี ในช่วง transitional period ปี 2562-2566 นั้น ส ำนักงำน ก.ล.ต. ควรระบุมำตรกำรป้องกัน (“safeguard”) ให้ชัดเจน เพื่อให้ เกิดควำมเข้ำใจที่ตรงกันในอนำ

Products (SIPs) Investment products that contain derivatives or have complex terms and features. SIPs was introduced by MAS to safeguard the interests of retail investors investing in complex products

for normal business; ​(2) Under one of the following circumstances, and approved by the mutual fund supervisor, the operation may be reject or suspense but not longer than one business day:  ​​(2.1) The