Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________

, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR;  (2) In the case where a local securities company has a foreign securities company as a client, the

client, the local securities company would be required to notify the foreign client not to accept purchase orders, transfers or exchanges of securities that would result in Thai investors holding more NVDR

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

โครงสร้างพ้ืนฐานท่ีส่งเสริมให้การใช้เทคโนโลยีในการท าความ รู้จักลูกค้าเป็นไปอย่างมีประสิทธิภาพ ( Electronic know your client : e-KYC) 39,000 31,636 ยุทธศาสตร์ D รู้เท่าทันความเส่ียงและก ากับ https