securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
’ name RAIMON LAND PUBLIC COMPANY LIMITED Securities Code: RML 2. Date of action resulting in reporting obligation 03/09/2020 ( ) Direct sale/purchase JS ASSET MANAGEMENT PTE. LTD. ( ) Other
tax obligation. Rathanon.f Highlight 10 Bangkok Commercial Asset Management Public Company Limited 3.2. Cash Collection from NPLs and NPAs management businesses The Company believes that for the NPLs
amount” derivatives “obligation” credit derivatives (obligation category & obligation characteristics) “options” (3) “ ” 3 . . 2546 “OTC derivatives” derivatives derivatives “P/N” (Promissory Note
’ name MAJOR CINEPLEX GROUP PUBLIC COMPANY LIMITED Securities Code: MAJOR 2. Date of action resulting in reporting obligation 25/09/2019 Foreign Securities company MACQUARIE BANK LIMITED ( ) Direct
’ name CAZ (THAILAND) PUBLIC COMPANY LIMITED Securities Code: CAZ 2. Date of action resulting in reporting obligation 11/12/2019 Thai Securities company KTB SECURITIES (THAILAND) PUBLIC COMPANY LIMITED
’ name GLOBAL CONSUMER PUBLIC COMPANY LIMITED Securities Code: GLOCON 2. Date of action resulting in reporting obligation 11/12/2019 ( ) Direct sale/purchase ( ) Other (please specify) Trade
’ name MAJOR CINEPLEX GROUP PUBLIC COMPANY LIMITED Securities Code: MAJOR 2. Date of action resulting in reporting obligation 30/01/2020 Foreign Securities company MORGAN STANLEY N CO. INTERNATIONAL