behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3

taking advantage of others; (3) I was sentenced to imprisonment by the court’s final judgment for the commission of any of the following public offences, regardless of whether the imprisonment was

. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market

actions.________________________ Remark: * SEC News No. 86/2023 released on 29 May 2023 with the headline, “SEC imposes civil sanctions on six offenders for disclosing and exploiting

securities and derivatives industry and the Thai capital market. Key topics included the implementation of Artificial Intelligence (AI) in securities and derivatives businesses, best practices for utilizing AI

sustainably utilizing biodiversity. The declaration was made in collaboration with representatives from the Biodiversity-Based Economy Development Office (Public Organization) (BEDO), the Thailand Business

promoting tax-saving funds to develop the Thai capital market, supporting the increase of provident fund (PVD) members among listed companies for employees’ retirement, and the direction for utilizing Open

Lohtong Holding Co., Ltd.'s trading account to purchase 1,479,700 SPORT shares by utilizing non-public information he accessed by virtue of his positions. Such information was the Q3/2015 operating

client confirms the transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose

transaction. Clause 13 A securities company shall not buy or sell securities by using insider information in a manner that may be deemed taking advantage of a third party or disclose such insider information to