. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
Rules on Transactions for Clients with Intermediaries or Connected Persons shall be in accordance with Chapter 2; (3) Disclosure of Information related to Acts That May Cause a Conflict of Interest shall
securities, as well as the suitability for investment and the relevant risk exposure. The effectiveness of the Registration Statement neither represents that the Securities and Exchange Commission, the Capital
should be physically solid and should not expose any information related secured areas to the public; 2. The intermediary should grant access right to enter the secure areas for only relevant persons
management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
Compare the firm’s policies and procedures for relevant ethical requirements (including independence, integrity and objectivity) with professional and regulatory requirements 13 Does the firm provide its
Office No. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work experiences1 Having passed the course on business knowledge and regulations related to being category A investor
company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall