securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

of the unit value under Paragraph 1 shall be made on basis of the Unit value in each trading. The term "executive" "parent company" "subsidiary” and "associate" shall have the same definition as

are traded in the domestic or foreign organized market. 9 “investment in listed securities” means investment in trading securities or available-for-sale securities with the intention to hold less than

Derivative Warrants | BCP13C2003A | DERIVATIVE CALL WARRANTS ON BANGCHAK CORPORATION PUBLIC COMPANY LIMITED ISSUED BY KGI SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN MARCH 2020 # A

Derivative Warrants | SCC19C2003B | DERIVATIVE CALL WARRANTS ON THE SIAM CEMENT PUBLIC COMPANY LIMITED ISSUED BY YUANTA SECURITIES (THAILAND) COMPANY LIMITED LAST TRADING IN MARCH 2020 # B | Stock in

Derivative Warrants | SCB19C2003A | DERIVATIVE CALL WARRANTS ON THE SIAM COMMERCIAL BANK PUBLIC COMPANY LIMITED ISSUED BY YUANTA SECURITIES (THAILAND) COMPANY LIMITED LAST TRADING IN MARCH 2020 # A

Derivative Warrants | HMPR41C2003A | DERIVATIVE CALL WARRANTS ON HOME PRODUCT CENTER PUBLIC COMPANY LIMITED ISSUED BY JPMORGAN SECURITIES (THAILAND) LIMITED LAST TRADING IN MARCH 2020 # A | Stock in

Derivative Warrants | BGRI13C2002A | DERIVATIVE CALL WARRANTS ON B.GRIMM POWER PUBLIC COMPANY LIMITED ISSUED BY KGI SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN FEBRUARY 2020 # A

Derivative Warrants | BJC24C2003A | DERIVATIVE CALL WARRANTS ON BERLI JUCKER PUBLIC COMPANY LIMITED ISSUED BY FINANSIA SYRUS SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN MARCH 2020 # A | Stock

Derivative Warrants | SCC28C2003A | DERIVATIVE CALL WARRANTS ON THE SIAM CEMENT PUBLIC COMPANY LIMITED ISSUED BY MACQUARIE SECURITIES (THAILAND) LIMITED LAST TRADING IN MARCH 2020 # A | Stock in