Supervisory Board approved the revision of regulations on business operators to require a report of change in operating system if the change significantly impacts the business undertaking. This is to enhance

Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The

securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of

Mr. RAVI LOHTONG During the period of 8 - 30 October 2015, Mr. Ravi Lohthong, director and chief advisor to the executive board of Siam Sport Syndicate Public Company Limited ("SPORT") used

an SECC Holding’s director and executive with responsibility and due care by attending the Board of Directors’ meeting in which the fictitious loans worth Baht 245 million agenda was approved and

of the Capital Market Supervisory Board. The Criminal Court sentenced the accused to pay a total fine of Baht 418,500. Since the accused pleaded guilty, the Court reduced the fines by half, resulting

statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. On July 2, 2020,The Criminal Court

Company Limited (KC) Board of Directors, aided and abetted the former executive of KC (1) Mr. Krittiphat Ittisanyakorn (formerly named Mr. Pattarapob), then acting managing director and executive director

of the total number of voting rights of TIES within the period specified in the notification of the Capital Market Supervisory Board. He later filed the accurate reports (Form 246-2) to the SEC Office