regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
personal data processing activities in accordance with its responsibilities and the relevant agencies as follows: Stock Exchange of Thailand; Finance Ministry; Bank of Thailand; Office of Insurance
in the personal data processing activities in accordance with its responsibilities and the relevant agencies as follows: Stock Exchange of Thailand; Finance Ministry; Bank of Thailand; Office of
made pursuant to the policy of the Office of the Securities and Exchange Commission. The survey of the IOD is based on the information of a company listed on the Stock Exchange of Thailand and the Market
consultation to clients shall comply with the regulations under Chapter 4; (4) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (5) provisions of
proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be