order to execute enforcement and may also file a criminal complaint with the inquiry official for further criminal proceedings in case of refusal to pay a civil penalty.   In any case, more severe

unable to find sufficient evidence to justify the management's decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the

company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of

of FOCUS shares by using trading accounts of his clients to execute trading orders and manipulate the price of FOCUS shares and subsequently helped with the transferring of money gained from such

Mr.Pongsak Lothongkam On December 7,2017 Mr.Pongsak Lothongkam acquired of SVI Public Company Limited (SVI) shares held by Eagle Mount Asia Equities Limited which caused his aggregate holding of

transfers, counterfeited the investor’s signature to execute redemption transactions, and used the ATM card to withdraw money from the banking account and spent it for her own benefit. Such wrongful acts

of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and

for intermediaries or their employees to use advance information on clients? trading orders of securities or derivatives to execute their own orders before clients? (front running), or disclose such

total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014

decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1