accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC

Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology

information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker

announced those analysis. (7) 2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal

announced those analysis. (7)2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal

: ตั้งแต่เมษายน 2567 ถึง มิถุนายน 2567 ข้อมูล ณ วันที่ : 1/8/2024 10:38:13 On-Demand ไม่มีบริษัทขอรับใบอนุญาต _x000D_&1#&"Tahoma"&12&KC0C0C0 SEC Classification : ใช้ภายใน (Internal)

หรือนอกระบบ (internal wallet or external wallet) cust_type ประเภทของนักลงทุน transaction_date วันที่ทำธุรกรรม qnt ปริมาณ asset(เหรียญ) ที่ถูกทำธุรกรรม value_thb มูลค่าหน่วยบาท fee ค่าธรรมเนียม fee_thb

9,465 15,514 0 ประชาชนทั่วไป 3,163 4,008 2,930 10,015 7,626 13,961 3,074 10,251 รวม 23,332 14,289 13,321 22,010 10,076 23,426 18,588 10,251 &1#&"Tahoma"&12&KC0C0C0SEC Classification : ใช้ภายใน (Internal)

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5