collective investment scheme. TRANSLATED VERSION As of June 2, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2
operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example, trader codes. Work Areas Personal Data
relating to the financial aspect of business operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for
. Our suggestion for prevention of future occurrences is to jointly consider establishing accuracy verification mechanisms that can enhance confidence in the financial reporting, including a
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
Translation (Translation) PAGE (Translation) -6- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any
to the financial aspect of business operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example