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

: 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

business merging date.  SSK Inter Logistics Company Limited (“SSK”) has transferred assets, trailer trucks that SSK has not used effectively, to reduce capital of a group of shareholders, which book value

& DeLuca business by the end of 2019 as it is undergoing a “rightsize” strategy through cost control and merging of chain operations to minimise losses from unprofitable branches Selling and administrative

the consolidated financial statements of 3.50 million baht, due to such trucks show fair value higher than book value on business merging date. •SSK Inter Logistics Company Limited (“SSK”) has

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

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

UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...

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