and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters: (1) deficient due diligence on a transaction of
interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions
Chongnonsee, Amphur Yannawa, Bangkok. Details are as follows: 1. Transaction Date : within June 2018 2. Party Concerned and Details of Disposal of Assets ▪ Seller : O.C.C. Public Company Limited ▪ Buyer
Company Investment Advisory Company Derivatives Brokerage Derivatives Dealing Commercial Bank Life Insurance Company Trustee foreign juristic person / organization under digital asset business Funding
channel, and presented themselves as offering such service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a
assistance deemed appropriate reasonable and beneficial to business operation and cost of funding. The interest rate charged from the transaction is considered to be a market rate as dealing with financial
, conditions and procedures for brokerage and dealing in foreign securities issued under the law on securities and exchange; (2)1 “derivatives broker” means entity licensed to undertake derivatives business in