juristic person; (8) “client solicitation” means soliciting clients for engaging in an agreement with a private fund management company by the way of providing investment plans for the clients as well; (9
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
unit responsible for custody of private fund assets shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling
transactions. The board should adopt an ethics and conflicts of interest policy consistent with applicable law and standards (including fiduciary duties), and establish clear guidelines and procedures for
workshops for our auditors, as well as for the auditors preparing to register with the SEC, as we seek to expand the pool of the SEC-registered auditors. Being well aware of the fact that the quality of
accordance with the 2 following principles: (1) good governance and clear, transparent organizational structure; (2) effective risk management for legal, credit, liquidity, operation, and other risks, with
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the
required to sumbmit such attachments to the Stock Exchange of Thailand (SET) as well. - 3 - SEC Classification : ใชภ้ายใน (Internal) Part 1 Business Operation and Operating Results 1. Organizational