Notification Circular Others Venture Capital Fund Management Auditors Report Form Conducts of Derivatives Fund Management Executives of asset management companies and personnel in asset management business Major

undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Securities and Exchange

mutual fund management. Clause 25. A securities company shall supervise and control its employee to comply with this Notification and the code of conduct prescribed by the securities company for the

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of

(5)) |- Proprietary Trading |- Other Business Undertaken by Securities Companies |- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and

Group Lease Public Company Limited Group Lease Public Company Limited, a securities issuer, prepared and submitted the inaccurate audited financial statements for the year 2020 and the management

management companies, as well as update their fund books (if any) on the following business day to prevent damage from possible frauds

in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to

Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and

. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. The Securities and Exchange Commission Notification