Asia Wealth Securities Public Company Limited Asia Wealth Securities Public Company Limited, as a securities broker, violated The Securities and Exchange Act B.E. 2535 Act, in total 4 cases as
holding of shares in each level exceeds 75 percent of the total number of outstanding shares of such company; (9) “Office” means the Office of the Securities and Exchange Commission. Clause 2. In cases
Exchange Commission. Clause 2. In cases where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new
executive as follows: (1) In cases where a derivatives business operator appoints a new person as director or manager, or in other cases than (2), the derivatives business operator shall submit the following
place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position
such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date on which the Office notifies the claimant. In cases
on which the Office notifies the claimant. In cases where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed
foreign ETF are listed, and in cases where units of foreign ETF are listed on several exchanges, it shall mean the exchange specified by foreign ETF as home exchange; 2 Chapter 1 Application for Examination