financial position and operating results as required by law, and also on the condition that the filing fees have been paid within the specified timeframe. Over the years, the SEC has observed that the

license or approval properly. The SEC lists of licensed and approved persons are available at www.sec.or.th and SEC Check First application. Also, the Investor Alert List of entities operating business

Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives

) Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies

Remark: * SEC News No. 125/2021: “SEC files a criminal complaint against Binance for operating digital asset business without license”: https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9017&NewsNo

demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the

criminal complaint with the Economic Crime Suppression Division against {A} and {B} and the parties involved on account of being co-principals in operating derivatives business without approval. Due to

result, Chantip gained illegal benefits from such buying. Moreover, during 12 July – 10 August 2018, after Chantip knew negative non-public information that the operating results of UVAN in the second

37.36 - 40.92 million baht, (2) the business to be acquired has not made any profits, (3) there is uncertainty in the operating results of the event organization business, and (4) NBC may be exposed to

in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating