developments included the setting up of a Fintech working group and the SEC announcement of support and participation in such activity along with other GEMC members.   SEC Secretary-General Ruenvadee

in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well

derivatives agents. The proposed rules aim at enhancing service quality and keeping up with advanced IT systems such as use of cloud computing service, IT human resource security, encryption and incident

objective and providing up-to-date information sufficient for risk analysis. The reporting requirements on those unused for supervising purpose will be eliminated while frequency of report submission will be

pased a multiple of five percent of the total number of paid-up securities of TRAF as the case maybe. SEC Act S.246 Criminal Complaint Filed with an Inquiry Official Dated 30/09/2013

35% recorded at the end of the year 2018. 2. Profit obtained from the disposal of assets to Jasmine Broadband Internet Infrastructure Fund (“JASIF”) In November 2019, TTTBB entered into the Additional

submitted the client?s securities trading orders via the internet from the IP address of Krungsri Securities for a certain period of time. Wasana admitted and explained that her client was not keen on

securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of

ทรัพย์นั้น รวมทั้งพบว่าลูกค้ามอบให้ {ข} ตัดสินใจซื้อขายแทน กรณี{ค} พบว่าส่งคำสั่งซื้อขายหลักทรัพย์ทาง internet ให้ลูกค้าเป็นระยะเวลาหนึ่ง ผ่าน IP Address ของบล.กรุงศรี ซึ่ง {ค} ยอมรับและชี้แจงว่า ลูกค้าไม่

. The Company has active billings of 3.26 million per month with active customers of 2.14 million, mainly from Bangkok 31%, and in up-country 69%. Details of each business can be described as follows