to alleviate the impact. (In case of expenses on environmental control incurred over the past three years or forecast, provide such information as well). Specify whether or not the actual results
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
if different from those of the board of directors, as well as the opinions of the auditor regarding the internal control system. In any case, attach herein the Audit Committee's report (regardless of
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
Advisory Agents dated 3 August 2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities
systems for data center such as CCTV, fire alarm systems, fire extinguisher or automatic fire suppressing system, uninterrupted power supply, temperature and humidity control systems as well as maintain
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
control system; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public information between the service
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational