servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter

Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)

duties and approval of transactions in a transparent form in writing. Separate the powers to approve, record accounts, manage assets and audit. Persons charged with the duty to review and check must be

Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information Technology Security of Securities Company

Company earns consistent revenue and manage assets at the utmost benefits. • Additional revenue from other service businesses include outside catering (Dusit Event), housekeeping services (Dusit on Demand

, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR;  (2) In the case where a local securities company has a foreign securities company as a client, the

purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR;       (2) In the case where a local securities company has a foreign securities company as a

shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or

Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing

sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020