transaction as Type 4 transaction or backdoor listing pursuant to the Notification of the Capital Market Supervision Board No. Tor Jor. 20/2551 Re: Rules for Significant Transactions Constituting an Acquisition
Foreign Company Whose Shares Have Been Traded or Are Purposed to be Traded on Foreign Exchange (No. 3) dated 13 July 2015 (effective on 16 August 2015). 13 (b) breaching the law on supervision of the
investments geographically (home and abroad) and the method of financing (internal or external). 8. An indication of any public takeover offers by third parties in respect of the issuer's shares or by the
the amendment of the name and number of authorized directors who can sign to bind the Company, as nominated by SUTGH; (5) The Office of Securities and Exchange Commission (the “SEC”) approves the
Companies (AIMC), and the Thai Investors Association (TIA). Moreover, the SEC has set the directions for enhancing supervision on information disclosure of listed companies and on performance of duties of
executives, namely {D} and {E} as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company's core work systems
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under Paragraph 1, an intermediary shall sign
securities business, having obtained an approval to establish and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of