recognized by the SEC and have been listed on the main boards of such exchanges at least for one year, they will be deemed to have been satisfied the criteria comparable to those of the SEC. The revision aims
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
trading orders. In this regard, {A} and {B} actions were deemed the violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of
quarter during the past three years (2007-2009). {A} had access to this inside information by virtue of his position as a {X1} director at that time.{A}' s action was deemed the violation of Section 241 of
securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as
violation of Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The above persons, named in the criminal complaint filed by the SEC, are deemed as having untrustworthy
trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of
operating net loss of 1,179.10 million baht in comparison with the net loss of 30.80 million baht in the previous quarter.The aforesaid action was deemed as taking advantage over the others by using inside
deemed as share price manipulation in contravention of Sections 243(1) in conjunction with 244 and 243(2) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) and Section 83 of the Penal Code. The
such transfer. Their actions were deemed imprudent and careless fund management in contrary to professional codes of conduct, causing severe damage to the fund assets. On December 29, 2011, the asset