Material Transaction deemed as Acquisition or Disposition of Assets and the Notification of the Board of Governors of the Stock Exchange of Thailand regarding the Disclosure of Information and Other Acts of

Thailand regarding the Disclosure of Information and Other Acts of Listed Companies Concerning the Acquisition and Disposition of Assets, 2004 (including any amendment thereto) (collectively, the

the Capital Market Supervisory Board No. Tor Chor. 20/2551 with Disclosure of Information and Other Acts of Listed Companies Concerning the Acquisition and Disposition of Assets B.E. 2547 (2004) dated

-changes-as-approved-on- September-15_2015.pdf 2. IOSCO PRINCIPLES FOR AUDITOR OVERSIGHT 2002 # 8. Within a jurisdiction, auditors should be subject to oversight by a body that acts and is seen to act in the

with him and have their money transferred into his personal account without any client transactions executed as ordered. Teerasak’ acts had caused damage in the amount totaling 980,000 baht to his six

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

against Wichai for his fraudulent acts by misappropriating company assets and converting them to himself and other persons. He committed it by falsifying documents for securities purchasing orders to

through Rinnapa?s account by executing trading orders in inappropriate manners.The acts of Lalana, Sippakorn and Rinnapa were considered contravention of Section 243 (1) in conjunction with Section 244 and

found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and

later informing the client at the end of the day. The acts of {B} , {E}, {F}, and {G} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555