specified in the notification of the Capital Market Supervisory Board. The public prosecutor ordered a non-prosecution order. SEC Act S.246 and 247 Criminal Complaint Filed with an Inquiry Official Dated
period specified in the notification of the Capital Market Supervisory Board. The public prosecutor ordered a non-prosecution order. SEC Act S.246 and 247 Criminal Complaint Filed with an Inquiry
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
management of the clients’ assets within sixty days as from the date when the intermediary becomes under receivership by court order. Upon completion of proceedings as prescribed in this Notification, the SEC
reference. The SEC, Thailand cannot 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 Securities and Exchange
cannot 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 Securities and Exchange Commission No. KorThor. 7
Notification of the Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on
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