& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

Asia Wealth Securities Public Company Limited Between June 4, 2020 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, engaged in an act which may cause damage or

securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior

authorization of Mr. Vorasit Pokachaiyapat or person(s) authorized by Mr. Vorasit Pokachaiyapat, to have the authorizations to consider and decide on conditions and details related to the acquisition of shares of

) renew the personnel service agreement with Sutat Chudjen Co., Ltd., whereby the Board of Directors has also resolved to approve the authorization of the Executive Committee or any other person entrusted

features, as well as the control of rights to the computer center.  In the case of data retained on the Cloud, the SEC Office has  engaged a cloud provider with acceptable standards.  In addition, the SEC

KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause

;) failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the