fair and orderly markets, ensure regulatory convergence with international standards and improve efficiency of information disclosure of securities issuers in compliance with good corporate governance

inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2

approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without

knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without any disgraceful record, and must

Principle 6 Act Collectively with Other Investors and Stakeholders as Appropriate 50 Principle 7 Regularly Disclose the Investment Governance Policy and Compliance with the Policy 51 REFERENCES 52

place relevant processes in preparation for and in compliance with the new regulations. 7  International Financial Reporting Standards (IFRS) In 2019, the IFRS Conversion Project continued to closely

Kong Securities & Futures Commission for mutual recognition of managed fund products. We also undertook a self-assessment for compliance with IOSCO Principles to pave the way for Thailand’s Financial

covering the policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing o Preparing a written policy of security of information technology and the executives, computer

conformity to be deemed as compliance with the relevant regulations under this Notification; (3) require derivatives exchanges to submit reports or any particular documents to the SEC Office periodically or

common understanding of the Statement of Corporate Governance Principles, compliance with regulatory requirements and internal control guidelines - Arranging orientation sessions on good corporate