performance of Advice IT Infinite Public Company Limited and its subsidiaries, as per the consolidated financial statements for the three-month period ended September 30, 2024, compared to the same period of
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
clients which open an account or make transactions with the intermediary for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the
) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work
-trade information; (d) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post- trading activities (audit
related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the
monitor and examine post- trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (6) arranging disclosure of
. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the
than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). (Translation) 3. Check and balance system. By appointing a person who will monitor and inspect for