| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
learned from the Board of Directors Meeting Agendas. In addition, he did not report his conflict of interest to the Board of Directors that on January 25, 2016 he bought 10,000 contracts of JASH16 Futures
+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to control the
intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or
Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client; (b) is inconsistency or inappropriateness with conditions of such intermediary’s business; (c) is
100.0 100,000 100.0 Page 3/5 4. The Board of Directors approved a resolution to buy the shares in KTMS from Ms. Kanjana Pongpatanadecha in order to eliminate conflict of interest in the amount of 55,000
eliminate the Conflict of interest of Ms. Kanjana Pongpatanadecha, spouse of major shareholder and managing director of the Company, currently hold the shares in subsidiary company exceed 10.0 percent, which