underlying products, for example. Solicitations for initial investment start at around 300,000 baht with attractive high returns to lure investors for immediate investment decision. The unlicensed companies
Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries
Companies (AIMC), and the Thai Investors Association (TIA). Moreover, the SEC has set the directions for enhancing supervision on information disclosure of listed companies and on performance of duties of
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446