entirely to non-retail investors, including institutional, high net worth and ultra-high net worth investors whose qualifications are as specified by the SEC Thailand. Yes No If “No”, please specify

Bangkok, April 25, 2013 - The SEC suspended {A} of KT Zmico Securities Co., Ltd., for five months. The KT Zmico Securities Co., Ltd. reported to the SEC that {A} had been authorized by her clients to

because the highest price on that day was lower and was decreasing during the submission of selling order. She also admitted sending the trading orders without her client's order from January 9, 2014 to

market auditor and determine a six-year period during which her applications for such approval will not be accepted. Since her previous approval had already expired on 4 August 2025, the SEC has set a

Tangkittrongcharoen and other 16 persons jointly manipulating the share price of POLAR. The details of the other 3 cases are as follows: - 31/07/2021 Filing a lawsuit accusing her and other 22 persons jointly

Royal Image of Her Royal Highness Princess Bajrakitiyabha Narendira Debyavati, Chair of the Friends in Need (of "PA") Volunteers Foundation, the Thai Red Cross Society. The SEC, as part of the Friends

development of digital assets and digital asset business operators in Thailand. Her presentation highlighted efforts to foster innovation within Thailand’s digital asset market. The event was held on 8 July

duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as

a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share

her client to buy derivative warrant without informing the client of specific risk of securities, the securities? last trading date and maturity date. {A} admitted that she advised the client to buy