been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody

Exchange Commission No. KorThor.29/2545 Re: Custody of Client Assets of a Securities Company (No. 2), dated 28 March 2002. (Translation) -3- (3) provide a contract or an agreement on the custody of client’s

policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to

return any gains from the wrongdoings.* Mr. Thanawat came in to acknowledge the civil sanctions, but did not consent to comply with the punishment terms within the specified time. The SEC has

(JAS), by give a consent Mr. Pete in using his securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016

borrowing of securities for making a short sale. Such agreement shall include a statement that the client gives consent to the securities company to retain securities purchased in a margin account or cash

the existing Concession Agreements after obtaining the approval from the shareholders’ meeting and after obtaining the consent from the Council of Ministers. 5. On September 30, 2018, the Company has

securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different

related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a securities borrowing and lending agreement

have in place a securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts