the Capital Market Supervisory Board No. TorChor. 72/2558 (2015) Re: Permission for Listed Companies to Offer Newly Issued Shares to Specific Persons (“Notification of Capital Market Supervisory Board

, regardless of the client's permission.  In this regard, the aforesaid {B}'s  actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval

.  This amendment approved by the Capital Market Supervisory Board Meeting No. 2/2565 on 15 February 2022 aims to resolve the limitations related to the underwriter’s securities allocation to be in line

derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

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

Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn

the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “member” means any member of a derivatives exchange. 3 Chapter 2