misconduct of MRC - BIZ is liable to offering for sale of digital tokens and operating digital asset exchange without license, which is a legal offense under Section 17 and Section 26 subject to the

Retirement Saving via Tax System with Behavioral Economics Implication for Regulation Retirement Saving via Tax System with Behavioral Economics Implication for Regulation แลกเปล่ียนความคดิเหน็โดย

company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for

operating system for monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using

operating system for monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using

/Documents/Auditor/leadership.doc The Derivatives Act The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the

of the monitoring process annually; and (b) Whether the firm is notified promptly for all identified deficiencies in the system of quality management. B10 Does the firm have a formal policy or

its operational life 4. Assess the resilience benefits of the infrastructure and ensure it does no harm to the resilience of the defined system it operates within 5. Ongoing monitoring and evaluation

Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform

of the Office of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of