(2) of the Notification of the Capital Market Supervisory Board No. TorNor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Fund dated 10 January 2011
failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited Prapai from performing duties as branch manager in charge of capital market business and
committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in
Notification of the Capital Market Supervisory Board*. Accordingly, the SEC has revoked his approval as an investment consultant for Complex Products Type 2** and has imposed a ban on accepting any future
failure to perform her duties or provide services with honesty and good faith, which is deemed a prohibited characteristic for capital market business personnel under the Notification of the Capital
Derivatives Businesses 23/11/2011 01/12/2011 4. Notification of Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives
23/11/2011 01/12/2011 3. Notification of Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by
/2011 01/12/2011 4. Notification of Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities
the Securities and Exchange Commission KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses 23/11/2011 01/12/2011 3. Notification of Capital Market Supervisory Board
/2000 2. Notification of the Securities and Exchange Commission 5/2543 04/04/2000 15/01/2000 3. Notification of the Securities and Exchange Commission 9/2540 (Synopsis) 4. Notification of Capital