The key points of the amendments to the qualifications of bondholder representatives are as follows:             (1)  A securities company licensed to operate securities brokerage business

Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

(-Translation-) Ref. No. U.SET 030/2018 27 June 2018 Subject: Setting up of a new subsidiary To: The President The Stock Exchange of Thailand U City Public Company Limited (the “Company”) would like

(-Translation-) Ref. No. U.SET 046/2018 18 December 2018 Subject: Setting up a new subsidiary To: The President The Stock Exchange of Thailand U City Public Company Limited (the “Company”) would like

the Notification on Standard Conduct of Business; (3) a person of whom a management company could be aware that if the management company enters into a transaction for a fund with such person, the

specify under Clause 18 (1) of the Notification on Standard Conduct of Business ; (3) a person of whom a management company could be aware that if the management company enters into a transaction for a fund

- Transalation - No. AEC 321/2018 November 12, 2018 Subject: Disposition of Assets of AEC Securities Public Company Limited (Amendment) Attention: President The Stock Exchange of Thailand AEC

Company and its subsidiaries as of 30 June 2020, in accordance with the notification of the Capital Market Supervisory Board No. Thor.Jor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as

lending business.” Clause 2 The provision of Clause 16 of the Notification of the Securities and Exchange Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company dated 4 January