Clause 5 of the Notification of the Capital Market Supervisory Board No. TorChor. 34/2551 Re: Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Underlying Shares dated 15

efficiently, by taking the following actions:     (1) Amend the company’s financial condition to comply with the fund requirements as prescribed in Clause 15 of the SEC Notification No. Kor Thor. 19/2561 Re

the fund maintenance rules under Clause 15 of the SEC Notification No. Kor Thor. 19/2561;   (2) Rectify the management and personnel structures to ensure appropriateness and adequacy for efficient

from director/executive positions at securities issuing companies and listed companies are prescribed under Clause 3(2), Clause 5(2) and Clause 6(2) of the Notification of the Securities and Exchange

.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of

.____________________________Note: The misconducts of the eight investment consultants and branch manager {I} were in violation of Clause 23(1) and were deemed prohibited characteristics of capital market personnel under Clause 31(1

trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.**Clause 6(1) of the Notification of Capital Market Supervisory

Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities