. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and

Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and Section 98(3) of the

exchange(2) Digital asset broker(3) Digital asset dealer(4) Digital asset fund manager, providing client asset custody services(5) Digital asset advisory services, providing client asset custody services(6

accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint

keep complete records of a number of securities trading orders. He also admitted that he received the trading orders from the client via Line Application and mobile phone.Making trading decision on

/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis)   04/01/2000 01/04/2000 2. Notification of Capital Market Supervisory Board  TorThor 9/2551 Custody of

, or opening a digital wallet for the purpose of using digital assets as a means of payment for goods and services, etc.;    (2) In the case where a digital asset business operator finds that a client

check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

.;    (2)  Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that

complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within