particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

Page 1 of 1 ACC6608/001 August 15, 2023 Subject: Clarification of operating results for the second quarter of 2023 ended June 30, 2023 Dear Directors and Managers Stock Exchange of Thailand According

Bangkok, May 15, 2015 ?The SEC is seeking public comment on revisions of rules for securities and derivatives business operators in the areas of fiduciary duties, organization structure, operating

program, to increase the usage frequency on existing customers and encourage new customers For the operating result in 1Q2020, the total transaction amount was Bt9,630mn, decreasing 6.8% YoY. However, the

could be attributed to a decrease of Baht 221 million, or 2.08 percent in impairment loss on loans and debt securities and an increase of Baht 835 million, or 2.13 percent in net operating income which

Ref: CEO 019/2018 9 November 2018 Subject: Clarification on First Quarter’s Operating Performance (3/2018) To : The Secretary of the Securities and Exchange Commission The company clarifies causes

guidelines for offering and operating digital assets businesses, at the SEC Office on 23 February 2024.

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement