any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. Notification of the Capital Market Supervisory Board No. TorDor. 95/2552 Re: Rules

. In this regard, the SEC has issued two Notifications of the Capital Market Supervisory Board and one Notification of the Office of the Securities and Exchange Commission (Enclosures 1-3), which take

Capital Market Supervisory Board and one Notification of the Office of the Securities and Exchange Commission (Enclosures 1-3), which take effect from 16 June 2021. To ensure that business operators

Capital Market Supervisory Board No. TorChor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets _________________ By virtue of Section 16/6, Section 89/1

notifications are as follows:  (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 29/2568 Re: Custody of Client Assets of Securities Companies (No. 7): https://publish.sec.or.th/nrs/10847s.pdf

, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.*  In

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC

of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and

trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to