Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection

regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and

internal resources and financing through our routine funding sources. At this stage, the Bank does not expect to raise equity specifically for the purpose of funding this Transaction. 5. Transaction

ดำเนินงานตามปกติ (routine inspection) พบว่า {ฆ} ไม่ได้บันทึกเทปการให้คำแนะนำและการรับคำสั่งซื้อขายหลักทรัพย์ของลูกค้าจำนวนหนึ่ง  และ {ฆ} ยอมรับว่ารับคำสั่งซื้อขายของลูกค้าทางโทรศัพท์มือถือการกระทำของ {ค

, the government relief measures for flexible living routine such as the opening of the shops, restaurants and beauty salons which affected to increase in traveling trips. The Company expects that the

agreed between the Company, its subsidiaries and connected entities as routine business operations, which could be summarized as follows: (Unit: Thousand Baht) For the three-month periods ended 31 March

complied with the commercial conditions and criterions as agreed between the Company, its subsidiaries and connected entities as routine business operations, which could be summarized as follows: (Unit

May 3, 2020, the government relief measures for flexible living routine and curfew cancelation which led to the continued increase in traveling trips. In July 2020, the average traffic volume was at

routine business operations, which could be summarized as follows: 3 (Unit: THB thousand) For the Nine-Month Period Financial Statements ended September 30, 2018 Pricing Policy Consolidated financial

resources and financing through the Bank’s routine funding sources. At this stage, the Bank does not expect to raise equity specifically for the purpose of funding this Transaction. 9. Conditions for the