Dated 18/04/2018

operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the

Microsoft Word - SET 2018-004 MD_A EN 2017 (Translation) February 22, 2018 Ref: SET-2018-004 Re: Management's Discussion and Analysis and operating results for the Year 2017 Attn. to: President The

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone

for a private placement without obtaining a prior approval from the SEC on 7 March, 2018. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No

Settlement Committee Meeting No. 1/2018 Settlement Committee Order No. 4/2018 Dated 30/01/2018

securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 1/2018 Settlement Committee Order

approval from the SEC. SEC Act S.33 Settlement Committee Meeting No. 3/2018 Settlement Committee Order No. 12/2018 Dated 28/03/2018

Meeting No. 3/2018 Settlement Committee Order No. 13/2018 Dated 28/03/2018