SYNPHAET CO.,LTD Between December 2014 to December 2021, SYNPHAET CO.,LTD offer to sell newly issued securities in the category of Promissory Note (P/N) without approval from the SEC Office which is

Zipmex Company Limited On April 1, 2024, Zipmex Company Limited, a digital asset exchange and broker, appointed a director without the approval of the SEC. DAB Act S.29 paragraph 1 Settlement

199 Medical Clinic Company Limited 199 Medical Clinic Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. SEC Act

Energy Absolute Public Company Limited Energy Absolute Public Company Limited offer to sell newly issued securities in the category of Bill of Exchange without approval from the SEC Office which is

approval from the SEC office. DAB Act S.29 Settlement Committee Meeting No. 4/2026 Settlement Committee Order No. 9/2026 Dated 03/04/2026

information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors

Clause 5 shall submit the application for approval to the Office together with supplementary documents according to the forms and procedures provided in the Office’s electronic system. Clause 8. The Office

intends to seek an approval for derivatives trading according to Clause 5 shall submit the application for approval to the Office together with supplementary documents according to the forms and procedures

advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with

No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for