March 1, 2016 respectively. Later, the audited financial statement for the year 2015 was filed with the SEC and the SET on March 31, 2016. SEC Act S.56 and 199 Settlement Committee Meeting No. 6/2016

Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 2, 2016. SEC Act S.56 and 199 Settlement

submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

customers misunderstand. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 39/2024 Dated 13/05/2024

and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

Board. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024

another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2

process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S

specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. SEC Act S.56(1) Settlement Committee Meeting