notify his client of some transactions.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555

applicant and group of parent company.  {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1

} 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 Perform Duties of Analyzing

. Notification of the Office of the Securities and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees

failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited Prapai from performing duties as branch manager in charge of capital market business and

committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in

fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought

TRANSLATED VERSION As of June 3, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 7 Notification of the Office of the

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Office of the