-Customer (e-KYC) service, etc., as well as offering the CRM activities, including reward points program, to increase the usage frequency on both existing and new customers. For the operating result in 3Q19

| - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section 22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities

Customer (KYC) were inconsistent with the SEC's acceptable standards, while the sufficiency of their IT security and cyber security systems could not be verified.In addition, as a result of the application

must not have untrustworthy characteristics and must perform fiduciary duty;             4.  Shares must be sold through an intermediary that is responsible for conducting know-your-customer screening

ทรัพย์และบัญชีเงินลงทุนของลูกค้า (Customer Confirmation and Portfolio) ที่มีรายการไม่ครบถ้วนตามหลักเกณฑ์การจัดทำรายงานการส่งคำสั่งซื้อขายของลูกค้าเพื่อใช้แทนใบคำสั่งซื้อขาย (order ticket) จึงเป็นการไม่

ซี” คือ หน่วยข้อมูลอิเล็กทรอนิกส์ซ่ึงถูกสร้างขึ้ นบนระบบหรือ https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/explan-digital.pdf DRAFT CUSTOMER ASSET SECTION 31.2 The provisions of this

ซี” คือ หน่วยข้อมูลอิเล็กทรอนิกส์ซ่ึงถูกสร้างขึ้ นบนระบบหรือ https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/explan-digital.pdf DRAFT CUSTOMER ASSET SECTION 31.2 The provisions of this

funds; (3) “ infrastructure asset ” means: (a) the https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed

https://publish.sec.or.th/nrs/5883pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board

underlying asset of https://publish.sec.or.th/nrs/4239ae1.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market