, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the customer should consider the suitability with the purpose of
individual person who is not a connected person of the Company. However, the Company is unable to disclose such information due to the agreement regarding the non- disclosure of the information. 3. General
than Baht 20 million (excluding cash deposits) □ ข้าพเจ้าเป็นบุคคลธรรมดา (นบัรวมคู่สมรส) ข้าพเจ้ามีลักษณะดังนี้ / I am an individual person when combining with spouse having any of the following
legal proceedings under the law governing securities and exchange and notifications issued by virtue of the said law. Clause 5 Other than the reasonable grounds of lack of qualifications or possession of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
Exchange Commission KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 5. Notification of the Securities and Exchange Commission
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
, TRC’s financial manager, and (4) Ariya, Ounruen’s sister, had knowledge or possession of such inside information and the persons in (1), (2) and (4) had used such information to sell TRC shares in their
– sold 3,853,600 SQ shares in her possession through the trading account of Satida, her daughter, who rendered assistance or convenience by letting Penprapa use her trading account to sell the SQ shares