recognition, the quality of SEC?s auditor supervision has been internationally recognized, as evidenced by acceptance as a member of International Forum of Independent Audit Regulators (IFIAR) in 2010 while
informed ASCO of Cross Selling Meeting among the Bank of Thailand, the Office of Insurance Commission and the SEC. All the regulators agreed, in principle, to prohibit marketing promotion such as prize
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
fund investors around the world. Since then, the company has conducted constructive dialogues with relevant parties in the fund industry, including regulators, associations and fund managers on a
Determination regarding Definition of Institutional Investor and High Net Worth Investor. “client” means user of an intermediary’s services. “Stock Exchange” means the Stock Exchange of Thailand. “derivatives
| Stock in SET100 | Offering Date - 04/10/2019 - 17/03/2020
Derivative Warrants | SCC19C2003B | DERIVATIVE CALL WARRANTS ON THE SIAM CEMENT PUBLIC COMPANY LIMITED ISSUED BY YUANTA SECURITIES (THAILAND) COMPANY LIMITED LAST TRADING IN MARCH 2020 # B | Stock in
| Stock in SET50 | Offering Date - 11/10/2019 - 03/04/2020
Derivative Warrants | HMPR41C2003A | DERIVATIVE CALL WARRANTS ON HOME PRODUCT CENTER PUBLIC COMPANY LIMITED ISSUED BY JPMORGAN SECURITIES (THAILAND) LIMITED LAST TRADING IN MARCH 2020 # A | Stock in
| Stock in SET50 | Offering Date - 16/10/2019 - 02/03/2020