Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party _____________________ By virtue of Section 16/6 and Section 113
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
securities business in the category of private fund management. Parties shall be regarded as the juristic entities under the same business group under the first paragraph if: (1) The party that manages funds
of the ongoing lawsuit(s) or legal dispute(s) whereby the Company or its subsidiary is a party. The description shall include only (1) any lawsuit that may negatively affect the assets of the Company
clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
attached herein the information on such appraisal. 5. Legal disputes Give a brief description of the ongoing lawsuit(s) or legal dispute(s) whereby the Company or subsidiary is a party. The description shall
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
เป็นต้นไป (สรุปหลักการประกาศและแผนภูมิในการทำ KYC/CDD และ ongoing KYC/CDD ตามสิ่งที่ส่งมาด้วย 2 และ 3 ตามลำดับ) 2. สืบเนื่องจากการที่ประเทศไทยเป็นสมาชิกขององค์การสหประชาชาติ และเข้าร่วมประเมินภายใต้โครงการ
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing