Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546

holding the in-person meeting on the condition that the unitholders have a channel for posting inquiries or requesting clarifications. In addition, a summary of Q&A must be disclosed through an

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance

) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and Combating of Terrorist Financing |- Others    Executives of securities

(section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and Combating of Terrorist Financing |- Others   

to be incompatible with the normal market condition. 02/04/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a

or volume of AJD shares to be incompatible with the normal market condition. 02/04/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :  

or volume of AJD shares to be incompatible with the normal market condition. 26/03/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :  

price or volume of AJD shares to be incompatible with the normal market condition. 26/03/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :