Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33

of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2

Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the

” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who

prescribed rules. In this regard, Zipmex clients may contact the company’s customer service center** or make inquiries at the SEC Public Service Center via hotline 1207 press 8, or email: info@sec.or.th, or

Sanction 1. Mr. Sakda Sangkul Managing client?s account and making decision to buy or sell securities for client without client?s order

) 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

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

already delivered all of such money to the customer within five working days from the date of receipt of such money. In case where the client informs the securities company to keep the money under (b) (c

customer within five working days from the date of receipt of such money. In case where the client informs the securities company to keep the money under (b) (c) or (d) for the benefit of future transaction