) 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

client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint at least five members to the board of directors, and of this at least two board members shall be

-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the SEC has suspended approval of two AEC

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

investors. This single form proposal would facilitate standardized filing of customer profiles and increase investors’ convenience. Based on the previous stakeholders consultation on the governing principles

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

asset ” means an asset deemed to be owned by a client as https://publish.sec.or.th/nrs/6121pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent

December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client

achieve sustainable growth and returns while maintaining our long-term market leadership. Guided by our core strategies of “Customers’ Life Platform of Choice” along with “Customer Centricity”, KBank has