) using part of such funds to repurchase investment units for Client 1, and (3.2) transferring the remaining amount into her own bank account for personal use.In carrying out the above misconduct, Miss

(repurchase agreement – “repo”) ได้ โดยได้ปรับปรุงประกาศคณะกรรมการกำกับตลาดทุน จำนวน 2 ฉบับ (ตามสิ่งที่ส่งมาด้วย ) ดังนี้ 1. ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทน. 76 /2563 การจัด

;(repurchase agreement หรือ repo) เฉพาะกับคู่สัญญาที่เป็นสถาบันการเงินหรือผู้ลงทุนประเภทสถาบัน ซึ่งมิได้เป็นผู้ลงทุนต่างประเทศ (non resident) ดังนี้  

Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No OCEAN Mr. Jirat Tritrakulchai Disposition Stock 6.3018 1.7105

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No XPG ELEVATED RETURNS LLC Disposition Stock 7.9717

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No WAVE THANAVARIN COMPANY LIMITED Acquisition Stock

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No JTS Mrs. Lalana Tharasuk Acquisition Stock 4.9968

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No CIG Mr. Komet Pechanunt Acquisition Stock 1.2007 6.5027

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No UBIS Mr. Nant Kitayanutkul Acquisition Stock 54.9932

Acquisition Stock 59.9965 0.0053 60.0018 30/08/2023 59.9965 0.0053 60.0018   246025952309-1 NINE SILOM ROAD LIMITED Disposition Stock 17.5341 2.9568 14.5773 22/08/2022 17.5341 2.9568 14.5773   246020362208-1