therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide

assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and appoint competent officials to perform duties in accordance with this Act

) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint

the KCM business Other conditions : KCM will appoint 1 representatives to be the directors of the subsidiary company This transaction is not categorized as the Company’s connected transaction; however

19 เมษายน 2539 1 (TRANSLATION) Tor. For. 6 / 2020 May 14, 2020 Subject: (1) Submission of the Financial Statements for Q1/2020 (2) The resolution to appoint the Company’s auditor (3) Management

appoint new directors to fill vacancies while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that Mr. A disobeyed the board of directors’ instruction and

shareholders meeting to appoint new directors to fill vacancies, while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that {A} disobeyed the board of directors

auditor rotation, aiming to enable the audit committee to appoint an independent individual to be its auditor and promote the auditors to truly maintain their independence.