into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the

Class 1 - Acquisition and Disposition of Asset Transaction with values less than 15%. Therefore, the Company are not required to perform any disclosure under the obligation of such Notification. Page 2

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as

Bangkok, 2 December 2016 - The Criminal Fining Committee has imposed a fine of 5,560,000 baht on {A}, a former director of Jasmine International Public Company Limited (JAS), for failing to perform

. However, Mr. Suphanan failed to perform his duty as directed and submitted a clarification letter to the SEC. The SEC considered his explanation inadmissible. The SEC has viewed that Mr. Suphanan’s

Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri

Thianthong, Vice President, Marketing, Commercial and Supply at the time of the offense, on account of failing to perform duties with responsibility, due care and loyalty as director or executive of

minimum number of businesses and the nature of the businesses for which the auditors perform audit work and affix signature on the auditor’s report from at least three businesses to at least two

Inquiry Official Dated 08/06/2021 Vongsarojana and (3) Mr. Teera Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a