/ Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered

violation of Clauses 20(1) and 20(5) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis

Granting of Approval for Undertaking Securities Business B.E. 2551 (2008)   14 16/07/2008 01/08/2008 7. Notification of the Securities and Exchange Commission  KorKhor 6/2551 Determination of Paid-Up

/2551 Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E

  KorKhor 10/2551 Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities

Commission  KorKhor 10/2551 Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking

10/2551 Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities

Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (2008

March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for

Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was