securities or investment units. “major shareholder” means a shareholder or a beneficial owner of shares in the amount more than 10% of the total number of voting rights of the applicant. For the purpose of the

refund requests: If a buyer claims to have overpaid and asks for a partial refund, carefully check the amount that entered your account. Be wary of the buyer canceling the original payment after you

arranged for other bank employees to withdraw money from the sale of investment units by use of the user IDs of other bank employees in approving transactions, and deposited an amount of 8.75 million

-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the SEC has suspended approval of two AEC

work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the

อนุพันธ์ที่มีจำนวนเงินตามสัญญา (notional amount) เป็นสกุลเงินตราต่างประเทศกับคู่สัญญาที่เป็นบุคคลที่มีถิ่นที่อยู่นอกประเทศ หรือนิติบุคคลรับอนุญาตเท่านั้น      3. ปรับปรุงแบบ

or 50% of IPO (174,000,000 shares). IPO amount equals to 36.25% of Total Paid-up Capital after capital increase. UAPC, at its discretion, may not offer for sale or may not allocate the newly issued

round which is for those who have expressed the intention to subscribe the share in excess of their shareholding and the subscription of the newly issued on the Private Placement basis in an amount of

appropriate taking into account the seriousness of the breach. Chapter 2 Availability of competent personnel Objective The management company shall demonstrate that it has adequate amount of personnel for the

company shall demonstrate that it has adequate amount of personnel for the conducting of the business and such personnel must have knowledge and ability appropriate to their duties. Guidelines Page 5 of 32