that indicates that a director, manager or the person responsible for the operation of a juristic person may have committed an offense under Section 89/25, for example, taking the assets of the

Ref: GEL.CS.026 /2561 Date: 14th November 2018 Subject: The approval of the additional investment in Seven Wire Company Limited To: Director and Manager The Stock Exchange of Thailand Refer: 1) The

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 transfer forms several times instead of the ones officially recorded on the client database, and affixed signature as branch manager to approve certain securities transfers.Phillip Securities

e-service Online Submission Private Fund/ >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board  Tor Nor 89/2558 Rules for

: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not

this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including

this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including

general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of the Capital Market Supervisory

Notification of the Capital Market Supervisory Board concerning Rules on Personnel in Capital Market Business, to perform duty as a branch manager or responsible person for operating a branch office by complying