Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty

securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...

SECURITIES AND EXCHANGE COMMISSION TranslatED Version codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English

SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English

duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the

writing to the SEC Office. In this regard, such securities company which still undertakes derivatives business in the category of derivatives brokerage has duty to comply with the Notifications of the

The Securities and Exchange Commission UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The