by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without

brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in

UNOFFICIAL TRANSLATION PAGE 12 Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and

UNOFFICIAL TRANSLATION Certification and Consensus of Audit Firm Date ........ Month ....................... Year ............... Dear Secretary-General of the Office of the Securities and Exchange

Form 61-2F Certification and consensus of audit firm Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand

statement (FORM 69-PP-PRICING) which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

-PRICING) which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.300 in

and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.283 paragraph 1

the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty required to be performed as follows 1. financial statement for the year 2016 2