Part 2, the approved foreign entity also has the duty to comply with the Notification of the Capital Market Supervisory Board concerning Selling of Newly Issued Debt Securities and Derivatives Warrants

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 Capital Market

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Printable Format - Laws and Regulations Securities Brokerage Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating

Printable Format - Laws and Regulations Securities Underwriter Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating

Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major

proposed by the SET. These amendments aim to enhance oversight of orderly securities trading by removing Non-SET100 Index securities from short selling eligibility. These SET’s regulations will take effect

Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board recently resolved to approve additional type of mutual fund selling agents which must: (1) be state enterprise which is non

units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units

requested the selling of SCB Open-end Long Term Fund Dividend 70/30 in a portion that met the minimum of 5 year investment. A bank officer who was not an investment consultant processed the selling of