Capital Market Supervisory Board and one Notification of the Office of the Securities and Exchange Commission (Enclosures 1-3), which take effect from 16 June 2021. To ensure that business operators

Capital Market Supervisory Board No. TorChor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets _________________ By virtue of Section 16/6, Section 89/1

notifications are as follows:  (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 29/2568 Re: Custody of Client Assets of Securities Companies (No. 7): https://publish.sec.or.th/nrs/10847s.pdf

, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.*  In

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC

of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and

trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

market personnel for the period of one year. ----------------*Their actions were in violation of Clauses 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555

the Notification of the Capital Market Supervisory Board Tor Chor 21/2551 Re: Rules of Connected Transaction. Moreover, after calculating the size of the acquisition of assets, it is not required to