According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of

directors is deemed untrustworthy to perform duties as directors and executives of a securities issuing company and listed company under the relevant notification, they, therefore, can no longer perform

Criminal Code, as the case may be. Furthermore, the submission of false documents and information to the competent official of the SEC and the deceit to the auditor is liable to be in violation of Section

management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and

apply for approval for the mutual fund management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification

together with supplementary documents as specified in the notification of the SEC. Clause 13 In applying for license, the application shall be filed in the following periods: (1) in case of the applicant

Notification of the Office of The (Translation) PAGE (Translation) -4- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

Notification of the Office of The (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that