www.ucity.co.th Ref. No. U.SET 019/2017 October 30, 2017 Subject: Entire business transfer of Unicorn Enterprise Company Limited, capital increase, issuance of the U-W3 Warrants and U-W4 Warrants, issuance and

tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to

Exchange of Thailand. The client agreed to transfer money into Asia Wealth?s account and sent the transfer evidence to Jakkrit, who instead informed Asia Wealth that the deposit had been made by another

then asked the client to transfer the subscription money into her own banking account without actually using the money to buy such shares for the client;    (2)  In July 2017, Nutnicha borrowed shares of

.   Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

licenses under the law are allowed to provide services related to digital asset trading, exchange, depository, transfer, withdrawal or any transactions related to digital assets in Thailand. Violators or

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

Management Name : Mr DUMRONG WONGPRAYOON | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 07/11/2017