the fund maintenance rules under Clause 15 of the SEC Notification No. Kor Thor. 19/2561;   (2) Rectify the management and personnel structures to ensure appropriateness and adequacy for efficient

            1.  The SEC Board has approved in principle the issuance of the Notification of the Securities and Exchange Commission regarding Exemption of Fees for Filing the Applications for

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC

considered that she had already been suspended by her employer no less than the said period, the suspension imposed by the SEC is deemed to have been served.* Clauses 20(1) and (2) of the Notification of

of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis 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

November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and

disposition of assets pursuant to the Notification of the Capital Market Supervisory Board No. Tor Chor 20/2551 on the Criteria for the Material Transactions which are the Acquisition or Disposition of Assets

the disposition of assets pursuant to the Notification of the Capital Market Supervisory Board No. Tor Chor 20/2551 on the Criteria for the Material Transactions which are the Acquisition or Disposition

Notification No. TorJor. 21/2551 prior to connected transaction rules, dated August 11, 2008 (as amended) and the Notification of the board of governors of the Stock Exchange of Thailand prior to Disclosure of