of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients

due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary

: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities

, and complete data processing which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

communicate among relevant persons either inside or outside companies Companies shall determine methods and channels for communication, a list of relevant persons either inside or outside companies, responsible

Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited

field and parking lot with Jainnopsiri Company Limited (Held by Mrs. Sirima Iamsakulrat and Mr.Jain Charnnarong) period 10 year since June1, 2020 or the date of possession of the area, whichever the date

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million