controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

. (c) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach appropriately. (d) Identifying matters for consultation or

manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the

policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must

threats to independence and objectivity and take appropriate actions, including withdrawing from an engagement if effective safeguards could not be applied? 17 Does the firm have a system for identifying

conduct their functions pursuant to such policy. Clause 18 The policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...

, disclose the information on greenhouse gas emission according to the international standards or equivalent by identifying the name of the reviewer of the carbon footprint preparation of the organization

fee, loan interest, gain and loss from securities trading and interests and dividend from investment etc.. Furthermore the company have to stop recognizing income client, it shall disclose rule of