| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of

& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities

Other Businesses (Section 98(8)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders

. ๒๕๖๖ (นางพรอนงค์ บุษราตระกูล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ประธานกรรมการ คณะกรรมการกำกับตลาดทุน SEC Classification : ใช้ภายใน (Internal) SEC Classification : ใช้ภายใน

Governance through Responsible Data" at the SET Sustainability Forum 1/2024: Grounding Greater Governance for Good along with Ms. Wiyada Wiboonsirichai, Head of Global Internal Audit and Compliance, Banpu

were liable to be offenses related to insider trading that caused the rise of the CHG share price. The inside information that Dr. Kumpol became aware of or possessed was CHG’s operating results for

the change of {X1} share prices.   {A}' s action was deemed as using inside information in such a way as to take advantage of other persons in violation of Section 241 of the Securities and Exchange Act

which Warot and Jeeraporn were working. They used such inside information to trade securities or derivatives of 12 listed company clients during 2015-2017. Most of such draft financial statements

Bangkok, 21 June 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Sarath Teganjanavanich and Ms. Malita Limlomwongse, for using inside information to buy shares of Thai Optical

Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry