Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the

Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"

Public Company Limited which is offer to sale the debenture ALL242A and ALL252A, failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory

KRUNGTHAI XSPRING SECURITIES COMPANY LIMITED Between July 1 , 2021 to June 30, 2024, KRUNGTHAI XSPRING SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the

Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed

Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed

Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 11) dated 25 October 2006. (Translation) -5- Clause 12. Securities company shall not purchase or sell any securities by using