worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Capital Market Supervisory Board Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an

Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management

are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

trading such share which was not consistent with normal market conditions in order to lure general public to trade such share. SEC Act S.243(2) Settlement Committee Meeting No. 3/2016 Settlement

normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with

the normal market conditions. Additionally, he continuously traded UMI shares to lure the general public to purchase or sell such shares which resulted in the purchase or sale of UMI shares not