Microsoft Word - STNYKhor 3_2550_final.doc (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

TRANSLATED VERSION As of February 9, 2011 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the

UNOFFICIAL TRANSLATION Codified up to No. 6 As of 26 July 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference

Exchange Commission  KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities   31/07/1997 5. Notification of the Securities and Exchange Commission

renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the

renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the

, TRC’s financial manager, and (4) Ariya, Ounruen’s sister, had knowledge or possession of such inside information and the persons in (1), (2) and (4) had used such information to sell TRC shares in their

– sold 3,853,600 SQ shares in her possession through the trading account of Satida, her daughter, who rendered assistance or convenience by letting Penprapa use her trading account to sell the SQ shares

from the date specified in the SEC letter to be issued to notify their possession of the untrustworthy characteristics. _______________________* PTL financial year 2016 begins on 1 April 2015.** The

. Moreover, the existing laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces