injured person claims compensation from a person who, willfully or negligently, unlawfully acts and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary
Derivatives Business 1. Securities brokerage 1. Derivatives brokerage 2. Securities dealing 2. Derivatives dealing 3. Investment advisory service 3. Derivatives advisory service 4
of the Offence or Liability under the Securities and Exchange Act The Limitation Period Tort Case The injured person claims compensation from a person who, willfully or negligently, unlawfully acts
right is not less than 15 days. There are terms on compensation in the case where the company is unable to allocate shares to TSR holders exercising their right. The compensation must not be less than the
in the Category of Investment Advisory Service B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing
sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives
right must consist of at least the following details: Details, duration, price, rate and method of exercise of right Reason, conditions and procedures for amending the terms of the warrant Compensation in
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
Notification of the Securities and Exchange Commission No. GorJor. 16/2561 Re : Criteria, Provisions, Procedure for Approval of an ICO Portal Service Provider dated July 3, 2018 ( Effective as of July 16, 2018
of 2018: (1) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (2) a suspension of securities or derivatives trading for up to five