transaction, which is the significant transaction that has to be disclosed to the SET. 7. Lease Pricing Determination: This transaction is exceptional which can not be shown that it is wihtin normal commercial

.pdf Annual Report 2007 general satisfactory score of 70 out of 100 and received exceptional results in the supervision of securities companies and asset management companies. We made a full score on

suspicious activities or unauthorized business undertakings, please contact the SEC Help Center at Tel: 02-263-6000 or complain@sec.or.th or the AFTC at enforcement@aftc.or.th for further

at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https

relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

derivatives on behalf of a client for over 3 years and he admitted to the misconduct.For {E}, the case was lodged by client of Globlex Securities Co., Ltd. indicating that {E} had made unauthorized derivatives

/USD 32.31 in 2018 which was 5% stronger than the THB/USD 33.93 in 2017. Exceptional Items There were no Exceptional Items in 2019, 2018 or 2017. Subsequent Event None reviewQ419.xlsx MD&A 2019 24/02

34.25 in 2015. Exceptional Items There were no Exceptional Items in 2017, 2016 or 2015. Subsequent Event None

uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph