, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person authorized in writing from the

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

This instruction follows CIG’s letter dated 4 September 2025 explaining details from its Board Meeting No. 7/2025, including supporting information on the Board’s resolution to acquire ordinary

client's account without the client instruction. {C}'s actions were deemed trading securities on behalf of investor and non-compliance with investor contact's standards of conduct.In case of {D}, the SEC

2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the

million due to corresponding to EGAT’s dispatched instruction resulting in higher fuel consumption. • Small Power Producer (SPP): The gross profit increased by Baht 2,115 million as a result of the first

55.98% and 56.10% respectively which is resulting from the proper management of manpower at stores and back office including the better results from the process improvement project and more staff training

of lower property development operations selling expenses.  Administrative expenses decreased by Baht 71 million due mainly to a decrease in staff costs, loss on exchange rate, training & recruitment

https://www.sec.or.th/TH/Pages/AboutUs/HR-ManagePolicy-Operation-2565.aspx Thai HR-ManagePolicy-operation-2566-Q1 Training) เพื่อพัฒนาความรู้ด้านสินทรัพย์ดิจิทัล ให้แก่ผู้ที่ปฏิบัติงานด้านกำกับดูแล

institution, insurance, construction, digital assets) obtain/maintain the required specialist knowledge? Does the firm have special training/or tailor-made programs for specific client industries? 15 Do the