branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

trading orders from the client. {A} admitted that she accepted trading orders via her mobile. The SEC found that {A} intended to avoid complying with conducts of securities company in relation to record

Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company

by the issuing company (“Company”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. - 2 - SEC

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governing regulations, the Company shall disclose the characteristics of the business relationship or professional services which disqualify such person in accordance with the governing regulations, the

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the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2