Determination of Definitions of Institutional and High Net Worth Investors 09/07/2012 01/08/2012 3. Notification of the Securities and Exchange Commission 24/2549 25/10/2006 16/11/2006 4. Notification of
147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Brokerage (Section 113) | - |- Securities Dealing (Section 114
Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114) | - |- Dealer of capital market product denominated in foreign currency | - |- Know
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border
category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
deposits and withdrawals by requiring account name matching and delaying transactions involving high-risk customers. The SEC will also strengthen verification mechanisms for the implementation of Enhanced
ordinary shares of High East Capital Holdings Limited ( “HECH” ) Miss.Kantima Rodsatru exisiting shareholder of HECH which is not a connected person of the Company equivalent to 100.00 percent of the total