trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
Thailand re: Disclosure of Information and Other Acts of Listed Companies Concerning Acquisition or Disposal of Assets B.E. 2547 dated 29 October 2004 (Notifications on Acquisition or Disposal). Based on the
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
the Acquisition and Disposition of Assets B.E. 2547 (2004) dated October 29, 2004 and its amendment (the “Notifications on Acquisition or Disposition of Assets”). Upon calculation of the transaction
acquisition or disposal of assets B.E. 2547 as of 29 October 2018 (as amended). However, after calculation of the size of the transaction pursuant to such notifications, the highest transaction size is 0.13 per