According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, facts and evidence were found leading to the belief that Worawoot, COL director and the

System of the Stock Exchange of Thailand and that appearing in the contracts related to such asset acquisition. In addition , they failed to conduct a due diligence on the appropriateness of the assumption

) ( TRANSLATION ) Ref. AIT/19 - 244 July 5, 2019 Subject : Report on Information Memorandum regarding the acquisition of assets To : President The Stock Exchange of Thailand Enclosure : Information Memorandum

Following a referral from the Stock Exchange of Thailand (SET) in 2023 and the SEC’s further investigation, the findings and evidence indicated that during 3 – 14 November 2022, before the inside

Company Limited Attention: President The Stock Exchange of Thailand The Meeting of the Board of Directors of KGI Securities (Thailand) Public Company Limited (“the Company”) No. 5/2018 held on 23rd August

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above

Determination regarding Definition of Institutional Investor and High Net Worth Investor. “client” means user of an intermediary’s services. “Stock Exchange” means the Stock Exchange of Thailand. “derivatives

BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange

Singapore with 18 and 16 companies, respectively. However, the survey results revealed areas of improvement for Thailand. SEC will cooperate with the Stock Exchange of Thailand, the Thai Institute of

SEC held a seminar under the topic of “Thailand SEC Policy Dialogue 2018: Regulating by Market Forces” on 28 November 2018 at the Grand Hyatt Erawan Hotel, with the objective to stimulate policy