information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311

statements for Q3/2018 to the SEC within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.56(1) Criminal Complaint Filed with an Inquiry Official Dated 13/08

person representatives failed and the statute of limitations ran out. SEC Act S.113 Criminal Complaint Filed with an Inquiry Official Dated 26/11/2019

failed and the statute of limitations ran out. SEC Act S.115 Criminal Complaint Filed with an Inquiry Official Dated 26/11/2019

and the draft prospectus with the SEC Office. The statute of limitations ran out. SEC Act S.65 in conjunction with Section 86 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated

the draft prospectus with the SEC Office. The statute of limitations ran out. SEC Act S.65 in conjunction with Section 86 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 07

at the Millennium Hilton Bangkok without filing the registration statement and the draft prospectus with the SEC Office. This case is under consideration of the public prosecutor. SEC Act S.65

(Form 56-2, 2019) to the SEC within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.56 Criminal Complaint Filed with an Inquiry Official Dated 28/04/2022

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106

the year 2020 (Form 56-2, 2020) to the SEC within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.56 Criminal Complaint Filed with an Inquiry Official