and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
), describe the details of such project or research and development, for example, the characteristics, product launch or product improvement, progress and potential impacts on the Company's operation and
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
project or research, for example, the characteristics, product launch/ improvement, progress and potential impacts on the Company's operation and financial condition. Certification of Information The annual
shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the
the internal audit unit promptly and following up on such improvement. Notified this 11st day of October 2000. - Signature - (Mr. Prasong Vinaiphat) Deputy Secretary-General Acting Secretary-General
regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is an occurrence affecting the preventing
which the company is unable to maintain such adequacy, and inform the improvement to the Office within two business days from the date of the improvement. Clause 5 . During the period that the investment