/Documents/ca/Documents/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or

institutional investors without requiring to assess the qualifications of the underlying clients for investor classification purposes*. This approach is based on the fact that private funds are managed by

crowdfunding;            (2)  Requiring bondholders’ representatives to have paid-up registered capital of at least 25 million baht, which is comparable to securities companies maintaining clients' assets in

ensure that audit firms in the capital market would have sufficient time to make necessary preparations and mitigate unintended consequences for clients, specifically businesses in the capital market. (2

the regulatory fee for their clients of Thai nationality who request the conversion of NVDR to common shares;           (2)  Waiving the SET contribution on the condition that the SET also waives

the Association of Securities Companies (ASCO), regarding clients’ short selling transactions. The SET agreed that such review should be conducted in alignment with the current contexts and to ensure

information on the e-wallet used for safeguarding clients’ assets and details of transfer or withdrawal transactions of digital assets. However, Zipmex and Akalarp did not comply with the Competent Officer’s

decisions for clients, (2) Receiving compensations, either directly or indirectly, and (3) Operating such businesses regularly or giving services to the general public.  Pursuant to Section 66 of the

to the SET referral and the SEC further investigation, it has been found that during 25 February - 17 March 2015, Surachai, Somsak and Orthai, who were clients of Phichayada (at the time working for a

branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in