Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
Securities and Exchange Act B.E. 2535 (1992); (13) “securities business license type A” means a securities business license type A under the Ministerial Regulation Concerning Granting of Approval for
. ----------------------------- Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, Warot and Jeeranan, former EY assistant auditors, were involved in irregular securities and
disclose the said transaction to the Stock Exchange of Thailand including to require the approval for entering into of the said transaction from the Shareholders’ meeting of the Company in accordance with
the Stock Exchange of Thailand (“SET’) and stipulated in the invitation letter of shareholder’s meeting No. 1/2019 for their consideration and approval. Please see more details in Information Memorandum