decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment

Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated

. Notification of the Capital Market Supervisory Board Tor Jor. 12/2559 Re: Application and Approval for Offer for Sale of Structured Notes ____________________ By virtue of Section 16/6 of the Securities and

trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Jor. 4/2561 Re: Additional Provisions relating to Offering for Sale of Units of Foreign

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and

. The SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification