: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the
permits by virtue of law, the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 The following notifications shall be repealed: (1) The Notification of the Capital Market
private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company
; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the
provident fund under the laws on provident funds; (Translation) 2 “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company” means any mutual fund
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as {B}, a securities investment consultant and {C}, a capital market
characteristics of personnel in capital market and executives of securities companies under the relevant Notifications.**For breach of duty, the SEC barred {A} from holding any securities company management
% which is more than 0.03% but less than 3.00% of NTA of the Company. So this transaction is the connected transaction pursuant to the Notifications which shall be approved by the Audit Committee and Board
: Information Memorandum on the Asset Disposal, Schedule 1 of Rich Asia Corporation Public Company Limited Reference to the Board of Directors’ meeting of Rich Asia Corporation Public Company Limited (“the