trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
conducted a public hearing on this matter in January 2026.The SEC has therefore issued the relevant regulations* and published them in the Royal Gazette. The SEC notifications take effect on 4 March 2026
transactions of company is then considered as the acquisition of asset which conforms to the announcement of The Stock Exchange of Thailand regarding “disclosures and practices of listed companies in the
transactions and the transaction size is not deemed as an acquisition and disposal of assets pursuant to the notifications of the Capital Market Supervisory Board and the Stock Exchange of Thailand. Please be