reporting lines are clearly defined in conformity with the good internal control principle. We also emphasize thorough, accurate and regular disclosures on risk management and capital to the public. 3 Details

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account

business operator who is a wallet provider to enable identification of the clients who make transactions in the system;             (3)  To prohibit the digital asset business operator from providing

take the issue into consideration. The proposed revisions will include requirements on (i) adequate numbers of investor contacts, (ii) presentation of seller (i.e. showing of identification card), (iii

there were nothing related, (3) showing registered capital as high as 20,000 million baht. In addition, it was found that an executive holds several identification cards under various names and used those

) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

Futures Co., Ltd. The SEC's finding indicated that he had falsified documents by signing the documents on behalf of the client and made copy of client's identification card to obtain a gift voucher. When

statements every six months, from once a year, (4) improving the characteristics of the summary of important information of bonds, which are called “factsheets”, to become more precise, concise, attractive

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 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 responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...