business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Phisit as an investment consultant for complex products Type

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

defined by the Notification of the Securities and Exchange Commission concerning Determination of Definitions of Institutional Investor and High Net Worth Investor ; (6/1) “ high net worth investor ” means

law; (5)1 “retail client” means a client who is not an institutional investor or a high net worth investor; (6)2 “institutional investor” means an institutional investor as defined by the Notification

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

buyer are not classified as related parties according to the Notification of the Capital Market Supervisory Board No. Tor Jor. 21/2551 Re: Rules on Connected Transactions 3. Transaction Asset: 17,896,666

) and the buyer are not classified as related parties according to the Notification of the Capital Market Supervisory Board No. Tor Jor. 21/2551 Re: Rules on Connected Transactions 3. Transaction Asset

worth investors, venture capital businesses and private equity funds at an unlimited amount. Investment is capped at no more than 300,000 baht per ICO project for each individual investor, or no more