2. Mr. Thanathorn ChuchatpongFollowing order of person who is not an account owner or authorized by the client causing damage to such client

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Mr. Narongwet Weerakeatkumjorn2. Mr. Somporn Khunrang Making decisions to buy or sell securities for clients without clients? order Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer d...

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Mr. Sakda Sangkul Managing client?s account and making decision to buy or sell securities for client without client?s order Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated Dec...

2. Mrs. Jirapa Titachotinimit (Former name is Miss Jirapa Ingpongpun.) Engaging in providing rebates to clients, which are not deemed as benefits customary to services rendered in the normal course of securities business, thus violating the Regulations of the Stock Exchange of Thailand Re: Rules and Procedures for Charging Brokerage or Agent?s Fees for the Buying or Selling of Listed Securities and Members? Good Corporate Governance

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client Notification No. SorThor. 67/2543 Re: Registration of Marketing Offic...

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Miss Thitiyaporn Sumatar Making decisions to buy or sell securities for clients Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, amended by Notification No....

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction Miss Sirin Trakoolwong Buying or selling securities beyond clients? orders without authorization causing damages to such clients Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated...

Rules for Custody of Customer Assets and Essential Details of Custody Agreement

registration statement (Form 56-1) since it is vital to investors? investment decisions. With its plan to study and consult with related parties, the SEC recently organized a seminar to determine MD&A guidelines

seminars underscore SEC Thailand’s commitment to building a sustainable capital market by equipping investment professionals with essential ESG knowledge and analytical tools, ensuring they are well