trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading
clients. In addition, we remained cautious in credit underwriting of small and micro businesses, and focused mainly on existing customers with good track records or classified as low-risk customers. 2.2
total assets. This is classified as class 2 of the Notification on Asset Acquisition and Disposal with the size of higher than 15% but less than 50%. The transaction value is calculated as per the
percent. The transaction is classified as a Class 2 Transaction according to Notifications on Acquisition or Disposal that is transaction value equal or greater than 15 percent but less than 50 percent
and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be
compliance with the process stipulated under (1), (2) and (3) by the intermediary; (b) rectifying or taking any action if the communication and provision of services is found to be inconsistent with the
one hundred ninety-seven million seventy-seven thousand three hundred and fifty-nine shares) Par Value per Share : THB 1 (One Baht) Classified into : Ordinary Shares : 1,197,077,359 shares (one thousand