SEC Thailand is a recipient of Digital Government Awards 2020 and Honorable Mention of the 9th NACC Integrity Awards 2019 Unofficial Translation 14 June 2021 Attn: President of the Association of
... (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) 2 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The
... (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC Thailand can neither
consultants and three branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not
investment consultants and three branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors
branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading