\(Microsoft Word - Translation PVD-amend \\\(\\305\\247 web\\\) \\251\\272\\321\\272\\267\\325\\350 4 160418\) (Unofficial Translation)* PROVIDENT FUND ACT (No. 4) B.E. 2558 BHUMIBOL ADULYADEJ, REX
Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
system to monitor its personnel, getting involved in the operation of the REIT, [i] to have appropriate qualifications in accordance with the nature of the work allocated to them and [ii] to carry out the
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
advocacy threat, which will impair the independence and trustworthiness of the audit firms. • Amend the pol icy and the disclosure form attached with the s ta f f annua l independence confirmation to be more
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
– February 2021 3-3 What governance process should be established by the issuer to monitor the achievement of SPTs? The issuer should not only select the relevant KPIs and related SPTs as per sections 1 and 2