prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the

FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) had duties to prepare and submit the Complaint report of Q2/2023 within JULY 17

Securities Brokerage : Investment Units, had duties to prepare and submit the financial statement for first period of six months of the year 2023 within October 2, 2023 However, FL prepared and submitted the

, Miss Niramarn has the duty to prepare and disclose a report regarding her holding securities and the changes to such holdings (Form 59-2) within 19 March 2020. However, Miss Niramarn prepared and

, Miss Ariya has the duty to prepare and disclose a report regarding their holding securities and the changes to such holdings (Form 59-2) within 26 March 2020. However, Miss Ariya prepared and disclosed

Satochi Company Limited Satochi Company Limited ("Satochi"), a digital asset broker, is obligate to submit a request for approval of major shareholder to the SEC office within the period

Satochi’s failure to submit a request for approval of major shareholders to the SEC office within the period specified in the notification of Ministry of Finance, resulted from the instruction or the failure

Office within the next business day. However, Phillip Asset Management Company Limited prepared and and submited Form A-2 late in 3 cases, namely Form A-2 for the July 31, 2023, October 2, 2023, and

. Vinai has the duty to prepare and disclose a report regarding their holding securities and the changes to such holdings (Form 59-2) within March 16, 2021. However, Mr. Vinai prepared and disclosed the

report within the period specified in the notification of SEC. SEC Act S.59 Settlement Committee Meeting No. 10/2024 Settlement Committee Order No. 105/2024 Dated 19/12/2024