and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008

Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of

). He obtained the material non- public information by virtue of his positions before such information became public on November 23, 2012. SEC Act S.241 Settlement Committee Meeting No. 4/2014

work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree

accounts in such a way as to take advantage of other persons by using material non-public information concerning the business operation of CMO for Q 2/2012 that he obtained by virtue of his positions before

issued and allocated to existing shareholders for free that he obtained by virtue of his positions before such information became public on September 14, 2012. SEC Act S.241 Settlement Committee Meeting

duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company

customers with integrity, honesty, quality, fairness and equality. In a case that a digital asset business operator will outsource other parties, the business operator is required to follow the notification

as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for

operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient