to operate as a custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of

Earlier, by virtue of Section 267 of the Securities and Exchange Act of 1992, the SEC, with the approval of the SEC Board, ordered an attachment of assets of 10 entities who were imposed with the

Re: Investment in Fund’s Assets (No.14)

://publish.sec.or.th/nrs/3890pe.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business

| - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section 22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities

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asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at https

including appraisal of impairment of assets, transactions occurred after the date of the financial statements, limitation of internal control of receipt and payment transactions, trade receivables, other

PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1 สงิหาคม 2565 การสง่ขอ้มลูอเิล็กทรอนกิส์ ของเจา้หนา้ทีป่ฏบิตักิาร SEC Classification : ใชภ้ายใน (Internal) 2©Copyright เลอืกบรษิทัที

PowerPoint Presentation SEC Classification : ใชภ้ายใน (Internal) 1 สงิหาคม 2565 การสง่ขอ้มลูอเิล็กทรอนกิส์ ของผูม้อี านาจผกูพนัของกจิการ SEC Classification : ใชภ้ายใน (Internal) 2©Copyright ไดร้บั