investigation that led to the complaint filing had stemmed from a referral from the Stock Exchange of Thailand (SET) and the SEC?s data compilation from different sources, including the information gathered from

(Thailand) at the time, had prepared documents and contracts on behalf of the securities company and solicited eight clients to deposit money in the company?s banking account for the purpose of investing in a

analyst will be allowed to cover no more than 15 securities in average; published research must be updated at least 4 times a year; brokers must put in place control over quality of investment research and

ลับ โดยครอบคลุมข้อมูลดังนี้ 4.2.1 ข้อมูลที่อยู่บนอุปกรณ์ที่ใช้ปฏิบัติงาน (data at endpoint) 4.2.2 ข้อมูลที่อยู่ระหว่างการรับส่งผ่านเครือข่าย (data in transit) 4.2.3 ข้อมูลที่อยู่บนระบบงานและสื่อบันทึก

ข้อมูล (data classification) และแนวทางการรักษาความปลอดภัยของ ข้อมูลที่สอดคล้องตามช้ันความลับ โดยครอบคลุมข้อมูลดังนี้ 4.2.1 ข้อมูลที่อยู่บนอุปกรณ์ที่ใช้ปฏิบัติงาน (data at endpoint) 4.2.2 ข้อมูลที่อยู่

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 of the Securities and Exchange

. 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. PAGE (Translation) 2 The Securities and Exchange

. 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. The Securities and Exchange Commission Notification

cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. The Securities and Exchange Commission Notification of the Securities

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