or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Securities and

performance of duties, interfering with investors? assets in concealment and creating false evidience in violation of or non-compliance with the notifications of the Capital Market Supervisory Board concerning

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

the deficiencies of its work systems within deadline, and ordering Huobi to return assets to clients as per their request. Huobi requested extensions of deadline many times and the SEC Board granted

regulations: This Notification applies to the preparation of prospectus for infrastructure fund. Clause 2 In this Notification, The terms “mutual fund,” “management company,” “assets of an infrastructure

misappropriating the company?s assets in contravention of Section 307, 308, 311, 313 and 315 of the Securities and Exchange Act of 1992 (SEA).     A referral from the Stock Exchange of Thailand (SET) and the SEC

government bond or other assets as notified by the Office. The calculation of collateral value shall be made in accordance with the notification of the Office; (2) the deposition of collateral which is

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. KorDor 29/2540 Re: Rules, Conditions and