PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 16/06/2009 - 26/06/2009

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED| | Offering Date : 25/06/2009 - 02/07/2009

ONE ASSET MANAGEMENT LIMITED| | Offering Date : 22/07/2014 - 31/07/2014

, trading such underlying securities while underwriting them. The relaxation aims at facilitating the brokerage firms to better manage risks associated with issuance of the instruments while the firms are

conduct of derivatives brokers as follows:1. Underwriting rules will be relaxed to permit brokerage firms that issue instruments linked to other underlying securities, e.g., derivatives warrant, trading

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

KASIKORN ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 01/12/2010 - 08/12/2010

records of such activities in the form of recorded tape or electronic data storage. Clause 20 In trading securities with a retail client , a securities company shall prepare evidentiary documentation to

storage. Clause 20 In trading securities with a retail client, a securities company shall prepare evidentiary documentation to show that such securities trading is executed after the client has received

Storage Property Fund (Montri Fund), established and managed by CIMB-Principal Asset Management Company Limited.Following the complaint against Nakul Chaiyanil, a former fund manager who prepared the