offering for sale of newly issued securities in the category of debentures without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the instructions

securities in the category of debentures between August 11, 2017 and August 5, 2020 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the

Thai Technician Professional Company Limited's offering foe sale newly issued securities in the category of convertible debentures without approval from the SEC Office which is breach of The

Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office which is breach of The Securities and

Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office which is breach of The Securities and Exchange Act B.E. 2535

) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5

office which is in breach of the Securities and Exchange Act B.E. 2535, resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in

กรณีเกินอัตราส่วนโดยไม่ได้เกิดจากการลงทุนเพิ่ม (“passive breach”) ให้สามารถทำได้ในทางปฏิบัติ และมีความยืดหยุ่นมากยิ่งขึ้น ตามที่สำนักงานได้รับประเด็นจากสมาคมบริษัทจัดการลงทุน 2

จัดการ (passive breach) จะไม่ถือว่าบริษัทจัดการมีการกระทำผิดเกณฑ์ เช่น มูลค่าทรัพย์สินที่กองทุนลงทุนเพิ่มขึ้นหรือลดลงมากกว่าปกติ ผู้ถือหน่วยลงทุนขายคืนหน่วยลงทุนมากกว่าปกติ หรือตราสารที่กองทุนลงทุนถูกปรับ

redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax