, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and

Systems System Development -AEON System is 90% owned by AFS -AEON System is 3.3% owned by AEONTS General characteristics of transactions: With reference to the Minutes of the Board of Directors Meeting No.8

ที่ กบร No. Kor Bor Ror. 022/2018 January 31, 2019 President The Stock Exchange of Thailand Re : Hiring a connected party for sales management and system development Dear Sir, Thai Wacoal Public

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appropriate and sufficient personnel, communication system, customer service system, and internal supervision system, and these systems must be compatible with the additional technology apart from the

to provide investors with quality and standard services from business operators.The regulations will require business operators to provide personnel, communication system, customer service system