conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives

Section 312 of Securities and Exchange Act of 1992 ("SEA") with the following offences:1) For their responsibility over PICNI operations in 2004 when they jointly made changes to the contracts to let

Sections 300, 306, and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) (as the case may be)*.As a result of the review of Mr. Nantawat’s audit work performed for the financial statements for

shares is substantially lower than the fair value assessed by the IFA, and is also significantly below both the book value and the trading price of KTMS shares on the SET. In addition, concerns have

1 --Translation- Sor Gor 75/2017 July 21, 2017 Subject: Management Discussion and Analysis for the second quarter ended June 30, 2017 (Unaudited) To: The President The Stock Exchange of Thailand

1 --Translation- Sor Gor 85/2017 August 24, 2017 Subject: Management Discussion and Analysis for the second quarter ended June 30, 2017 (Audited) To: The President The Stock Exchange of Thailand

(loss) from exchange rate, and deduct interest income from loan to joint ventures and adjusting unrealized gain (loss) from exchange rate as well as non-recurring items. Management’s Discussion and

หนังสือแสดงการรับทราบความผิด 13 November 2017 Subject : Management Discussion and Analysis of Second quarter ended 30 September 2017 Attn. : Director and Manager The Stock Exchange of Thailand Encls

Ref.No.1905/026EN July 16, 2019 Subject Inform about The Connected Transaction (Amendment) Attention President of the Stock Exchange of Thailand According to the Board of Directors Meeting No.9/2019

: President The Stock Exchange of Thailand The Meeting of the Board of Directors of KGI Securities (Thailand) Public Company Limited (“the Company”) No. 4/2019, held on 21st August 2019, has approved the