shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works

business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of

Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5

person who is assigned by the board of directors to be the highest level responsible person in the management of a company. “ head of department ” means a person responsible for the work in the

to be the highest level responsible person in the management of a company; “ head of department ” means a person responsible for the work in the departmental level of a company; “ branch manager

Notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 34/2547 Operational Control and Security of the Information Technology of Securities Company with the same level of standard. The

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect

intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities