detail. Clause 7 In segregating and managing the client’s assets in accordance with this Notification, the person with the proceeding power may authorize any person to take such actions as deemed

in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person

to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment advisory service, ranging from the level of the

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

only the beginning point of the criminal enforcement process.  Under this process, in order to adjudicate whether a person has committed an offense it will depend on the investigation under the

Company, which is considered as a connected person of the Company. In this regard, Mr. Sorapoj has not attended this agenda and casted the votes on this agenda. 6. Characteristics and scope of interests of

. Prachnon Termritikulchai, a Company’s Director and CEO, is a related person therefore did not attend and did not vote in this BOD meeting. 6. Opinion of The Board of Directors in entering into this

B.E. 2535 (1992), which contains certain provisions that restrict the rights and liberty of a person, which is provided for by virtue of legal provisions, according to Section 29, in combination with

. Clause 2. In this notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is