แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...

or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for

or the service provider does not have qualifications as specified in Clause 3 or Clause 5, the Office may order the derivatives broker to rectify, do or refrain from doing any acts related to

a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

under one’s management or to prevent staffs under one’s supervision (if any) from doing or omitting to do any act in violation or contradiction of the Securities and Exchange Act B.E. 2535 (1992) , the

กรณีบริษัทจัดการเข้าซื้อและถือหุ้นของบริษัท National Digital ID เพื่อเข้าไปมีส่วนร่วมในการจัดทำระบบการพิสูจน์และยืนยันตัวตนของลูกค้าทางอิเล็กทรอนิกส์ (e-KYC) เพื่อให้สอดรับกับนโยบาย Ease of Doing

information in the advertisement; (3) provide additional information so that complete and accurate information is provided to investors; (4) act or refrain from doing any acts within a specified period of time

advertisement; (3) clarify complete and accurate information to investors; (4) act or refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate

processes to ensure that the client is the same person whose identity appears in the evidentiary documentation of an application for doing business transactions with the securities company , and verify the

deems appropriate, a management company shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the representative as designated by the