supervision of…………………………………………………… ……………………...……… (in case of a juristic person under supervision) (4) Type of Business…………………………………………………………… (5) Date of incorporation/registration …………….……. Country
/position (Translation) 1.2 Juristic person (1) Name………………………… Category of juristic person……………… (2) Established under the law………………………………………………… (3) Under the supervision of
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
, Price Waterhouse Co., Ltd. Member, Board of Governors, Stock Exchange of Thailand Academic Member, Accounting Profession Supervision Council, Ministry of Commerce 5 In de pe nd en t Au di t In sp ec ti on
) 2.1.4 ก.ล.ต. และสมาคมบริษัทหลักทรัพยไทย รวมจัดงาน “SEC 2024 Supervision Approach and Risk Management Guideline” ก.ล.ต. รวมกับ สมาคมบริษัทหลักทรัพยไทย (ASCO) รวมจัดงาน SEC 2024 Supervision Approach
brokerage services to local and foreign institutional investors, as well as high net worth individuals under Private Wealth Management. For high net worth clients, other wealth management products are
Securities Plc. (“PSEC”) operates Agency Business providing both securities and derivatives brokerage services to local and foreign institutional investors, as well as high net worth individuals under Private
Brokerage Business Phatra Securities Plc. (“PSEC”) operates Agency Business providing both securities and derivatives brokerage services to local and foreign institutional investors, as well as high net worth
”) operates Agency Business providing both securities and derivatives brokerage services to local and foreign institutional investors, as well as high net worth individuals under Private Wealth Management. For
providing both securities and derivatives brokerage services to local and foreign institutional investors, as well as high net worth individuals under Private Wealth Management. For high net worth clients