fining by the Criminal Fining Committee, and (b) criminal prosecution per the process of judgment. Most of the violations against the SEC administrated laws are processed by criminal action. 1. Criminal
statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, {B} admitted that she was the one who processed such
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
• Gross profit margin increases from the same period of last year from 41.2% to 46.9%. According to the Company has a planning and controlling for raw material purchase and has efficiently managed portion
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
percent compared to the third quarter of the previous year, mainly due to an increase in the Company’s underwriting fees and an increase in mutual fund management fees from funds managed by ONE Asset
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
foreign ETF comply with the Notification of the Capital Market Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund
by THB 18mn (or 50.6%), and (iv) other revenue that increased by THB 392mn (or 343%) YoY, primarily from the THB 200mn revenue from the termination fee of management contract of 2 managed hotels in