securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2

/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is

least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work

company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and

) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox; (b) assessing and managing

regulatory sandbox in the following areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the

the following areas: (a) having capital, work systems and personnel that can support service provision appropriately and adequately throughout the period of participating in the regulatory sandbox; (b

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No WORK KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED