on 23 August 2018. **According to Clause 3 (2), Clause 5 (2) and Clause 6 (2) of the Notification of the Securities and Exchange Commission No. Kor. Jor. 3/2560 Re: Determination of Untrustworthy

applications submitted in 2023. The Notification of the SRI Fund Fee Exemption Regulations has been published in the Government Gazette, taking effect from 1 January onwards.  An SRI Fund is a mutual fund that

imposed on an asset price appraisal. Due to their deficiencies above, {X1} Securities and {A} are deemed to have contravened the Notification of the SEC Office concerning Granting of Approval for Financial

own and others and thus interfered with client's assets. The actions of the two former investor contacts were in violation of Clause 14(1) and 14(2) of the SEC Notification No. SorKhor 49/2552 Re

with Clause 4(3) of the SEC Notification No. KorChor 8/2553 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated April 23, 2010; causing the termination of such

the special purpose vehicle (SPV) are the right to claim occurring overseas or arising from overseas assets.** Pursuant to the Notification of Capital Market Supervisory Board No. TorJor. 62/2566 on

of the public prosecutor, and an adjudication of the court of justice, respectively.  Note: * Untrustworthy Characteristics under the Notification of the Securities and

connected transaction according to the Notification of the Capital Market Supervisory Commission No. Tor Chor 21/2551 Re: Rules on Connected Transactions and the Notification of the Board of Governors of the

support is deemed as a connected transaction according to the Notification of the Capital Market Supervisory Commission No. Tor Chor 21/2551 Re: Rules on Connected Transactions and the Notification of the

deemed as a connected transaction according to the Notification of the Capital Market Supervisory Commission No. Tor Chor 21/2551 Re: Rules on Connected Transactions and the Notification of the Board of