-account of a Thai intermediary’s omnibus account only. Moreover, investors may also transfer their investment portfolio from one Thai business operator to another Thai business operator and may transfer

for shares and transfer 720,000 baht into Apple Wealth's bank account for such purpose. Sakkarin, however, informed the company that such money belonged to another client and changed the name and phone

accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities

Company’s financial reporting process to ensure accuracy and adequacy. 2. Ensure the Company has suitable and efficient internal control system and internal audit. The Committee shall consider the

securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment

securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment

securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment

e-service Online Submission See canceled document Business Operation Rules >> Internal operation of Securities Companies   Type Title Section See Document Status Notified Date Effective Date 1

e-service Online Submission See canceled document Business Operation Rules >> Internal operation of Securities Companies   Type Title Section See Document Status Notified Date Effective Date 1

e-service Online Submission See canceled document Business Operation Rules >> Internal operation of Securities Companies   Type Title Section See Document Status Notified Date Effective Date 1