assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is

3Q21 MD&A Advanced Info Service Plc. Executive Summary Slight revenue improvement despite COVID restriction measures and continued competition During 3Q21, the economy remained subdue from COVID

____________________ By virtue of Section 9 and Section 15 of the Trust for Transactions in the Capital Market Act B.E. 2550 (2007), which contain certain provisions relating to restriction of rights and liberties of

publication, in addition to compliance with Section 80 [of the Securities and Exchange Act B.E. 2535 (1992)], the approved person shall briefly provide information relating to limitation and risk issues as

(1992) which contains certain provisions in relation to the restriction of right and liberty of person which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and

keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the

password or keeping the password in the safe etc. and restriction for the necessary case only ▪ Specifying the compliance period and instantly when that period had lapse. ▪ Change the password strictly in

appropriate to ensure that the investors will have sufficient information for making investment decisions: (1) disclose additional information that may affect investors’ decisions; (2) amend the information or

) define the right of the intermediary to inspect the operation of the outsourcee to ensure compliance with the agreed term. With the exception where the outsourcee has a restriction to do so, the

right of the intermediary to inspect the operation of the outsourcee to ensure compliance with the agreed term. With the exception where the outsourcee has a restriction to do so, the intermediary should