No. TorDor. 79/2552 Re: Rules, Conditions and Procedures for Filing of Annual Financial Statements and Preparation of Reports of the Stock Exchange of Thailand _____________ By virtue of Section 16/6

) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual fund reports Scheme https://www.sec.or.th/EN/Pages/LawandRegulations/Preparationoffinancialstatements.aspx English

Mr. Pairat Sampaothong Mr. Pairat Sampaothong aided and abeted other person selling the shares of Advance web service public company limited to the public without filing the registration statement

, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9

connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the

. 3/2553 Preparation and Maintenance of Information Relating to Derivatives Trading (Synopsis)   01/02/2010 01/02/2010 2. Notification of the Office of the Securities and Exchange Commission  SorThor 2

which must be corrected, and the root cause analysis for such errors.  The study also proposes recommendations on important factors which play an important role in the accurate preparation of financial

draft guidelines of the Association that has been approved by SEC*. The guidelines contains details on :1) preparation of the service model responsible by a high-ranking executive officer; 2

On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56

. Others include preparation of financial statements, methods to contact and service customers with identification of customers’ real identities or real beneficiaries, evaluation of customers’ investment