Page 359 - BAM ONE REPORT 2565 (ENGLISH VERSION)

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Form 56-1 One Report 2022

(9) Compile the information, issues relevant to regulatory compliance, and opinions and suggestions of AMLO
or other authorities for further development, revision and stipulation of additional monitoring measures.
(10) Encourage the training for employees to gain knowledge and understanding and be able to correctly comply
with the rules, regulations, orders and articles of association of the Company under the guidelines prescribed
by AMLO, including the IT regulations and the Personal Data Protection Act.
(11) Coordinate with AMLO, governmental agencies and external agencies to ensure the operations comply with
the relevant regulations.
(12) Evaluate the operating staff’s knowledge and understanding of the regulations and identify causes of any
mistakes in order to seek preventive measures against any future risks.
(13) Perform other tasks as assigned.

Business Compliance and Review Division
(1) Determine goals and operational plans for business compliance and review in line with the policy, regulations,
orders and internal business process of the Company 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 internal regulations.
(2) Provide advice or suggestion to the executives and employees regarding compliance with the Company’s
regulations, including the policy, regulations, orders and internal business process of the Company.
(3) Supervise and review the operations of all departments to be in line with the rules, policy, regulations,
orders and business process of the Company by focusing on the correctness of the key business processes
that may affect the Company’s financial position and performance such as gain on loans purchased of receivable,
collateral, NPAs, receivables from Legal Execution Department, deposits for property purchase from auction
sale, debt payment suspension account, 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) Provide opinion regarding the adequacy and appropriateness of the establishment or revision of the rules,
regulations, orders and operational procedures of the Company.
(5) Compile the information, issues relevant to compliance with the Company’s regulations, and opinions and
suggestions of other internal work units for further development, revision and stipulation of additional monitoring
measures.
(6) Encourage the trainin for employee to gain knowledge an understandin an be able to correctly comply
with the rules, regulations, orders and articles of association of the Company.
(7) Coordinate with other internal work units to ensure the operations comply with the relevant regulations.
(8) Evaluate the operating staff’s knowledge and understanding of the Company’s regulations and identify
causes of any mistakes in order to seek preventive measures against any future risks.
(9) Perform other tasks as assigned.