to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

. 2. Involved Parties and Relationship with the Company 2.1 Sale of investments in Nation U Co., Ltd. (NU) Buyer The winning bidder who submits the highest bidding price Seller NMG (holding NU shares at

. However, gross profit increased from 12.3% in Q1/2019 to 14.4% in Q1/2020. 2. Management Service (“MS”) had a increase in gross profit for Baht 6 million. Main reason was both client retention and new

: “securities holder” means any securities holder accepted by the securities registrar. “client” means any securities issuer accepted by the securities registrar. Clause 2. In providing services as securities

client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท

.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint

รู้จักผู้ลงทุน (Know Your Client : KYC) การจัดประเภทผู้ลงทุน การจองซื้อ investment token เป็นต้น 2. การซื้อขาย investment token : ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัลสามารถ outsource งานที่เกี่ยวข้องกับการ

maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may

proper qualifications for business undertakings, in terms of operational systems and personnel, i.e., the absence of fund managers for continuous client support even though there were trading transactions