UNOFFICIAL TRANSLATION Codified up to No. 12 As of 14 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 49/2555 Re: Issuance and Offer for Sale regarding Units of Real Estate Investment Trust _____________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Ac...

judgment of the Court of First Instance on November 24, 2006 that dismissed the case and sentenced the accused to12 year imprisonment for breaching of Section 56 and Section 312 of Securities and Exchange

Court of First Instance on November 24, 2006 that dismissed the case and sentenced the accused to12 year imprisonment for breaching of Section 56 and Section 312 of Securities and Exchange Act of 1992

Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial

have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual

Supaporn Lapvisutisin, former Executive Vice President of Picnic Corporation Plc. ("PICNI") and 22 associates, and sentenced Theeratchanon and Supaporn to12 year imprisonment for breaching of Section 56 and

having any of the following behaviors. In this regard, the SEC Office shall deliberate retrospective behaviors for no more than 10 years: (a) breaching the duty of director or executive in performing with

for breaching public offence resulting from the management in the manner of deceit, fraud, or dishonesty relating to offences against properties, in case of a juristic person; (b) having been finally

retrospective behavior for no more than 10 years: (a) breaching the duty of director or executive in performing with responsibility, due care and loyalty including breaching or failing to comply with [relevant

to the client caused by breaching the rules under this Notification by the intermediary , or directors, executives or other personnel of the intermediary . Chapter 3 Management Structure, Operating