Jakkrit, the SEC received a complaint from a client of Asia Wealth. After further investigation, it was found that he had solicited the client to purchase securities of a company not listed on the Stock

pushed securities price , which violated the Stock Exchange of Thailand (SET)'s rules. The SEC is of view that investor contact should exercise his own discretion on trading orders received from the client

/Documents/AboutUs/Protecting-Minority-Investors-2563.pdf English (United States) . ​ Extent of Ownership and Control Index The SEC has issued the Notification of the Capital Market Supervisory Board No

auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first

auditors and perform the audit under the provisions of the law governing auditors and any additional regulations specified in the notification of the SEC. The approval of the auditor under the first

each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. PAGE 2 _____________ Notification of the

reference. The SEC, Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. _____________ Notification of the Office