complied with requirements in this Notification. Clause 4. Securities company shall not be allowed to provide trading service for units of foreign collective investment scheme except where the following

Exchange of Thailand Notification, Re: Disclosure and Acts of Listed Companies on Connected Transactions B.E. 2546 (2003), as per the following details: 1. Transaction Date (Agreement Execution Date) January

(Translation) CS 0297/2019 August 13, 2019 Subject: Connected transaction : Renewal of a hotel management advisor agreement Attn: President The Stock Exchange of Thailand With reference to the Board

care of such client's securities trading account for a certain period of time. {A} admitted that the client allowed him to make securities trading decisions and he has already compensated the client for

materially affect investors’ investment decision such as 1. serious damages 2. changing in issuer’s objects or the nature of business 3. events of default 4. entering into an agreement entrusting other persons

complaint, the SEC found that {B} had been authorized to make securities trading decisions on behalf of the client from the account opening. {B} admitted that she made trading decisions on behalf of the

counterparties or providing the system or facilitating entry into an agreement or match the order for persons who wish to trade or exchange digital assets. In so doing, {X1} has solicited the Thai public and

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

the companies will be able to return the money to the clients whenever they ask for, while the agreement on custody of client assets must not contain any provisions denying or limiting the companies

, 2017 as audited by the authorized Company’s auditor as follows: The operating result for the year 2017, ended on December 31, 2017 is Baht 12.53 million loss on Baht 55.25 million revenues compared with