... (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake
investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking
force. Clause 6 Any reference made in any other notifications to the Notification of the Securities and Exchange Commission No. KorThor./Nor. 8.2545 Re: Determination for Securities Companies to Proceed
6 Any reference made in any other notifications to the Notification of the Securities and Exchange Commission No. KorThor./Nor. 8.2545 Re: Determination for Securities Companies to Proceed with
the capital market. Chapter 1 Application for Approval as Auditor in the Capital Market _____________________ Part 1 Filing of Application ______________________ Clause 7 Any person wishing to be an
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including
. (additional information) Attn: President The Stock Exchange of Thailand Refer: Letter of Receiving financial assistance of subsidiary from the Company or connected person with reference No. FN-NWR 093/2561 on
suspension in undertaking derivatives business as a derivatives dealer by the regulator of its home country . Clause 5. The juristic person under Clause 2 that wishes to register as a derivatives business