make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the

the listing of Warrant on the Stock Exchange of Thailand, and (4) to take any other action which are deemed necessary and appropriate to the Warrant issuance. Enclosure 3 - Unofficial Translation

คำอธิบายและการวิเคราะห์ของฝ่ายจัดการ 11 August 2017 Re: To clarify the financial statements as of 30 June 2017 To: President The Stock Exchange of Thailand WHA Corporation Public Company Limited (the

asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from

details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from client’s assets; □ (3.6) System to

จดทะเบียนในตลาดหลกัทรัพย์แห่งประเทศไทย (“secondary listing”) ส านกังานคณะกรรมการก ากบัหลกัทรัพยแ์ละตลาดหลกัทรัพย ์(http://www.sec.or.th) ส านักงานคณะกรรมการก ากบัหลกัทรัพย์และตลาดหลกัทรัพย์ อาคารส า

) increase in expenses related to the preparation for listing on the Stock Exchange of Thailand and expenses related to the Stock Exchange of Thailand, (2) increase in employee and management expenses from new

fees. In Quarter 2 of 2019, the increase in administrative expenses is mainly due to (1) increase in expenses related to the preparation for listing on the Stock Exchange of Thailand and expenses related

a backdoor listing on the Stock (Translation) — 3 — Exchange of Thailand (the “Stock Exchange”) as it is the asset acquisition of a listed company pursuant to the Notifications on Acquisition or