transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading

to the public without the necessity to request for permission from SEC, according to the meeting resolutions of SEC Board on 1 August and of the Capital Market Supervisory Board (CMSB) on 5

their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his

preparing documents to be submitted to The Securities and Exchange Commission (“SEC”) for permission to set up Trust. In addition, the Company’s Board of Directors has passed a resolution to approve the

GUARDIAN CAPITAL ASSET MANAGEMENT CO.,LTD. ATHENEE TOWER 63 WIRELESS ROAD (WITTHAYU) 16TH FLOOR UNIT 1605/1 LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.021614985 Fax.021614977 30 JITTA WEALTH ASSET MANAGEMENT CO

COMPANY LIMITED KASIKORN ASSET MANAGEMENT COMPANY LIMITED KASIKORN SECURITIES PUBLIC COMPANY LIMITED KASIKORNBANK PUBLIC COMPANY LIMITED GULF BINANCE COMPANY LIMITED GUARDIAN CAPITAL ASSET MANAGEMENT

, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its

, dishonesty, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the

operations and on processing of test run. (7) Financial cost The Company and its subsidiaries’ financial cost from loan and permission note was increased by Baht 7.72 million or 203.13% from the same period of

expected to be complete within Q3/2017. In Q2/2017 the company has submitted documents to get a permission to build a new non-hazardous waste landfill. The company expects to start the landfill construction