which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

design, competitive strategies, and treatment of employees and customers, etc. Such activities should be monitored to ensure compliance with at least relevant laws. In cases where CSR was affected by the

แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

procurement, production design, competitive strategies, and treatment of employees and customers, etc. Such activities should be monitored to ensure compliance with at least relevant laws. In the case where CSR

to clients shall be supervised in accordance with the work system laid out by the intermediary . Clause 26 For the communication with or providing services to a new client , an intermediary shall

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from

shall supervise a service provider at least in the following matters: (1) the appropriateness of the policy and operation of the service provider shall be monitored and reviewed regularly, at least an

-central utility function, an intermediary shall supervise the outsourcing at least in the following matters: (1) the appropriateness of the operation of the service provider shall be monitored and reviewed

correction, systematically. Additional Guidelines 7. In complying with Clause 6 (5), the intermediary should ensure that the internal control system is monitored and evaluated and deviation of established