the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
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 aforesaid provision
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
) Provide support to help align the Company’s practices and processes with the SDGs (2) Build capacity within the Company to better understand IMM and approaches of integrating inclusivity and sustainability
business strategies of the Company or the group of companies, as specified by the Board of Directors (if any), to be used as guidelines for investors to understand and monitor future business directions of
and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should
information related to provision of services as a derivatives clearing house sufficiently to the extent that members or their clients, or any involved persons understand risks from use of the services, and
supervised by the SFC). The Securities and Exchange Commission, Thailand 333/3, Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Website: www.sec.or.th Email: mrfhongkong@sec.or.th Page 11
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors, and I am willing to comply with all