investment unit brokerage to maintain ongoing capital at a ratio appropriate for their business and in line with international standards. In addition, the new rules would enhance business continuity while

technology, such as provision that requires business operators to disclosure its financial statements to the public via traditional channel only. Moreover, the current laws do not clearly state the SEC’s

the selling price to maintain the raw material price has been rally down in May until now. So we cannot increase the selling price in the market but we have to buy the high material cost which we had

derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital

AEC Securities Public Company Limited Between December 21, 2018 and June 1, 2020 AEC Securities Public Company Limited , as a securities and derivatives broker, failed to maintain the net capital

AEC Securities Public Company Limited Between December 28, 2018 and May 25, 2020, AEC Securities Public Company Limited, as a securities and derivatives broker, failed to maintain net capital in

Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC

Asia Wealth Securities Public Company Limited Between March 26, 2021 and February 11, 2022, Asia Wealth Securities Public Company Limited, as a securities and derivatives broker, failed to maintain

(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Notification of the Securities and