reference. Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and

Public Company Limited would like to clarify for Quarter 1/2019 based on the company financial statement. The main items were as followed: Unit : Million Baht 2019 2018 %Increased (Decreased) Total

Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale

level of most customers. Financial Operating Results In Q3/2019, total cost of sales and operating expenses were Baht 916.2 million, increased by Baht 20.6 million from Baht 895.6 million of Q3/2018 or

until the gross profit being reported differently from the previous periods Operating Highlights in Q4/2019 & 2019 Q4/18 Q3/19 Q4/19 Change +/(-) 2018 2019 Change+/(-) (Unit: Million Baht) QoQ YoY

Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.

”. Revenue Business categories For the 3-month period ended 30/9/18 % Change Inc. (Dec) For the 9-month period ended 30/9/18 % Change Inc. (Dec) 2018 2017 2018 2017 THB mm % THB mm % THB mm % THB mm % Sales 1

Derivative Warrants | S5013C1712A | DERIVATIVE CALL WARRANTS ON SET50 INDEX ISSUED BY KGI SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN DECEMBER 2017 # A | Index | Offering Date - 18

Derivative Warrants | S5013P1712A | DERIVATIVE PUT WARRANTS ON SET50 INDEX ISSUED BY KGI SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING IN DECEMBER 2017 # A | Index | Offering Date - 18/08

Derivative Warrants | S5001C1712F | DERIVATIVE CALL WARRANTS ON SET50 INDEX ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN DECEMBER 2017 # F | Index | Offering Date - 18/09/2017