standards of conduct strictly applied in other countries. Trading securities on behalf of clients and inform them afterwards is not in accordance with ethics and professional standards and at times causes
trading orders and inform the client of the transactions afterwards. It was found that the client acknowledged the transactions without any objection. The {C} case follows investor complaint and the report
conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
under Clause 12(2) (a). An approved auditor under Paragraph 1 shall notify the change of audit firm that he/she works with via Form 61-3F provided on the website of the SEC Office within thirty days as
of the application result The SEC will notify the result of its consideration of the application to the applicant within 21 calendar days from the date of receiving complete documents according to the
agreement to notify the termination of Saraburi’s responsibilities in the NWR-SBCC Joint Venture. On May 8, 2017, the Company issued a letter notifying the termination of Saraburi’s responsibilities in the
30 April 2018 To: The President The Stock Exchange of Thailand Re: Q1-2018 operating results We, Delta Electronics (Thailand) Public Company Ltd, would like to notify the Company’s Q1-2018 (Jan-Mar