Supervisory Board may, if appropriate, promulgate the notification https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc DRAFT CUSTOMER ASSET SECTION 31.2 The provisions of this

BUSINESSES B.E. 2561 (2018) Linklaters (Thailand) Ltd 20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/RoyalEnactment

transferred to Apple Wealth when in fact Sakkarin had never purchased any shares for the client in the first place. He made up false documents and misled the client that such share transfer did occur. Moreover

original shares to return them to the client. (3)  In December 2017, Nutnicha borrowed money from a client, claiming that she would place shares as collateral when in fact she did not have the shares in

first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 7 Notification of the Office of the

(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 Office of the

, 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

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. 69

Unofficial Translation (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