holding securities for investment by the securities company itself; (3) Bearing a responsibility for the clearing and settlement for securities. (As amended by Section 5 of the Securities and Exchange Act
Investment Schemes (Thai ASEAN CIS). To begin with, the first one provides an exemption of unit holding limit up to one-third of all units sold (the One-Third Rule) for Thai ASEAN CIS in the portion offered to
Lohtong Holding Co., Ltd.'s trading account to purchase 1,479,700 SPORT shares by utilizing non-public information he accessed by virtue of his positions. Such information was the Q3/2015 operating
committing the offense in an amount of 999,200.00 Baht - a civil monetary penalty of 1,249,000.00 Baht The SEC has banned Chatchai from holding the position of director
(“TIES”) (now known as “T”) shares between 2010-2012 which when combined with TIES shares held by his spouse and his minor child caused his aggregate holding of TIES shares reached or passed five percent
”) shares on October 13, 2014 which when combined with TIES shares held by her spouse and her minor child caused her aggregate holding of TIES shares reached or passed five percent of the total number of
Supervisory Board after he acquired or disposed NOBLE shares between January 11, 2013 and September 4, 2014 so that the acquisition or disposal of such shares caused his aggregate holding of NOBLE shares held
to report to the SEC Office the acquisition of NPP securities and NPP warrant (NPP-W1) which caused his aggregate holding of NPP shares or NPP-W1 reached or passed five percent of the total number of