orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market

: Approval of Auditors in the Capital Market, dated 23 September 2010. The clause stipulates: “lack of professional ethics or violation of or non-compliance with the regulations under the Law on Accounting

as well as a violation of Section 89/7 of the same Act, as the case may be. This case is in the process of inquiry by the special case inquiry official. SEC Act S.307 308 311 312 313 315 89/7

against {X1} Company Limited and strictly instructed the company to improve its compliance with the oversight regulations.The company's offense was liable to violation of Section 113 of the Securities and

performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account

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

Information Transmission System. Such misconduct was in violation of Section 241 and liable to the penalties under Section 296 of the Securities and Exchange Act B.E. 2535 (1992), which was effective at the

work systems were in violation of Section 113 and the company was subject to the penalties under Section 282 of the SEA. As a result, the Settlement Committee imposed the fine of 1,101,000 baht on AEC

inappropriate and illegal actions by its employees.  The aforesaid defects of AEC work systems were in violation of Section 113 and the company was subject to the penalties under Section 282 of the SEA. As a

compared with the preceding year. □ 2. Supporting documents for consideration under Clause 4 (2): □ (1) Violation record, under the law specified in the Notification, of an applicant, directors, managers and