-2033-9660 27 January 2021 Attention: President of the Association of Thai Securities Companies President of the Association of Investment Management Companies Managers All securities companies All

Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics

performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the

major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The

investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient

necessary case such as system administrator computer operator etc.. Physical Security. Objective . Physical Security have an objective for preventing unauthorised person access risk, integrity risk or make

); (4) establish the selection criteria and a due diligence process by taking into account the confidentiality of critical information, the integrity of data and the information systems and availability

-money laundering legislations” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7

are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct

operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as