Financial Statement & Auditor Approval (section 106) Publisc Disclosure (section 108) Reporting & Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities
shareholders must comply with the regulations specified in the Notification of the Capital Market Supervisory Board No. Tor Jor. 34/2551 Re: Application and Approval for Offering for Sale of Warrants and the
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and
effect as from September 10, 2014. Note: Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of
misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board
Other Applications (No. 69), dated 2 April 2024: https://publish.sec.or.th/nrs/10172s.pdf; (5) Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 8/2567 Re: Approval of
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as