include (1) bills of exchange and promissory notes payable or issued by a company and given to the creditor or the buyer as evidence of rights under the bills. Additionally, such bills must be accompanied

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management

inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the

December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Notification of the Securities and Exchange

consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as {B}, a securities investment consultant and {C}, a capital market

the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing

via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the Securities

the Transaction: Given that BTH is the major shareholder of the Company and BTSC, the transaction is considered a connected transaction in accordance with the Notification of the Capital Market

meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager