industry groups and committing to targets as they shift gears to invest in a global economy that is transitioning into a low-carbon world. STRICTLY PRIVATE AND CONFIDENTIAL. FOR PROFESSIONAL INVESTORS ONLY

potential investments before committing. • Motivated to research the range of investments incorporated in investment products in order to make both a financial and ethical decision on their suitability

with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making inquiries on internal policies and procedures

KYC/CDD process that the client is involved with the committing of predicate offence or money laundering offence under the Thai or foreign laws; (13) the client shows unusual curiosity by making

alleged person is considered committing a violation, [the authority] shall determine and order an imposition of administrative sanction. The SEC Office shall notify the alleged person of the result of

instigator or an abettor, etc.; (5) the complicated nature of the act or the tool used in committing such act, such as using a disguised name of other person or establishing a company for concealment, etc.; (6

, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing of Prohibited Characteristics Clause 32 In case a person possessing the

(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...

, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing of Prohibited Characteristics Clause 32 In case a person possessing the