(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market

misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading transactions according to the order of the account owner or the authorized person. Moreover, he

transactions according to the order of the account owner or the authorized person. Moreover, he made up evidence to camouflage that the person who ordered the trading transactions was the account owner to

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being

Securities https://publish.sec.or.th/nrs/2544pe.doc Section 98 allowing such transaction; (5) sell securities without having possession , or without receiving an order to sell from another person, unless the

order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause 13. In case the derivatives broker invested in securities or held

any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorShor. 39

, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Securities and Exchange Commission No. KorNor

undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and

. Notification of the Securities and Exchange Commission No. KorNor. 1/2554 Re: Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund