categorized as connected persons with the Company as follows details:- This amendment of investment value does not cause the Company to fall within the disclosure requirement under the Notification of the

. 4/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis)   04/01/2000 01/04/2000 2. Notification of the Office of the Securities and Exchange Commission   7

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   33

transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended

Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and

bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and

intention to conceal the fact and fabricating false evidence.  She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses.   Following a referral from

first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

(UNOFFICIAL TRANSLATION) 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 Securities and