Page 357 - BAM ONE REPORT 2565 (ENGLISH VERSION)

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Form 56-1 One Report 2022

Regulations Compliance Division
(1) Determine goals and operational plans for regulatory compliance in line with the regulations of external
supervising authorities and based on the assessment of potential risks obtained from the supervision and
review of operations and/or other information of the departments concerned with compliance with external
regulations.
(2) Determine goals and operational plans for good corporate governance and anti-corruption policy in line with
the corporate governance code of external supervising authorities and/or concerned authorities and based on
the assessment of potential risks obtained from the supervision and monitoring of operations and/or other
information of the departments concerned with good corporate governance.
(3) Supervise and review the operations of other departments to be in line with the rules, regulations, orders and
articles of association of the Company to ensure compliance with the regulations prescribed by external
supervising authorities such as the Stock Exchange of Thailand, the Office of the Securities and Exchange Commission,
the Bank of Thailand, etc., as well as provide advice and preventive and remedial guidelines and report results
of the review to the concerned executives and/or committees.
(4) Study the laws and regulations applicable to the business operation of the Company, continuously keep abreast
of changes to those laws and regulations, and compile the information, issues relevant to regulatory compliance, and
opinions and suggestions of the regulatory body for further revision and stipulation of additional monitoring measures.
(5) Provide advice to ensure that the stipulation of internal regulations, the issuance of rules, orders, notifications,
regulations, and operational procedures, and the launch of new products and businesses of the Company are
carried out correctly and in conformity with the regulations currently applicable by external agencies, and
make a timely review and revision to always be in pace with changes to those applicable regulations.
(6) Identify or search for and evaluate the operational risk to ensure compliance with the laws, rules and regulations
related to business operation, and coordinate with the concerned departments in developing a system for
regulations compliance risk management.
(7) Provide advice to other departments to ensure their compliance with the regulations related to the Company’s
transactions, and notify the executives without delay when there is any change to the relevant external regulations.
(8) Review the reporting control process to ensure the submission of reports to external agencies is adequate,
appropriate and compliant with the regulations.
(9) Educate the employees on all regulations related to operations and encourage the creation of awareness or
the training for employees to gain knowledge and understanding and be able to correctly comply with all of
the rules and regulations.
(10) Coordinate with the external supervising authorities to ensure the operations comply with the relevant regulations.
(11) Encourage all other departments to embrace the code of ethics in performing their duties.
(12) Review the determination of framework and guideline for good corporate governance operations in accordance
with the principles/guidelines of the Securities and Exchange Commission (SEC) and/or other concerned agencies,
including the anti-corruption policy and the handbook and practice guide on good corporate governance.
(13) Supervise and monitor the good corporate governance operations, including the anti-corruption policy, and
submit a report to the concerned committees.