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
those of other business operations, e.g. property/hotel management service, project management service, etc. As of 1Q18, the Company was engaged in two distinct project management services – Crossroads
: 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
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
engaged in two distinct project management services – a tourist facility project in Maldives (starting in 3Q16) and The ESSE Sukhumvit 36 (starting in 3Q17). In 3Q17, the Company registered revenues from
other business operations, e.g. property/hotel management service, project management service, etc. As of 4Q17, the Company was engaged in two distinct project management services – a tourist facility
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