(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand can neither undertake
. The SEC, Thailand can neither undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ------------------------------- Notification
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
undertake derivatives business in the category of derivatives brokerage. “assets of client” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying obligations under
Prioritise Advancing the Best Interest of Clients 40 Principle 3 Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies 42 Principle 4 Apply Enhanced Monitoring of and
Share Ac informatio is not co Transact due to th the disclo Thus, yo Sincerely Mr. Wong Company Investor JMT Netw cquisition Tra on or underta onsidered to b tions of The S he Company i osure through u