(issued by CIS Operator) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand
from the latest Financial Sector Assessment Program (FSAP) in 2019, requesting SEC to amend the Securities and Exchange Act to impose sanctions on the audit firms in the capital market.“In addition
which were investment in gold futures, not spot gold. Accordingly, the actions of G.O.L. (Thailand) were in violation of the Derivatives Act B.E. 2546 (2003), Section 16, subject to sanctions under
securities law, pushing forward the enactment of important laws, and strengthening sanctions against non-compliances.Furthermore, the SEC plans to drive the Thai capital market to become a regional investment
from December 31, 2011. Details of the sanctions are as follows: Ten-year revocations: 1. Aunyapat Aroonjarhuspong (formerly named Nathaphan Jaiudom), an investor contact of KGI Securities (Thailand
committed an offense under the lawsuit of the plaintiff. The Civil Court also imposed civil sanctions as follows: (1) The 1st defendant shall pay the civil penalty in the amount of 2,000,000 Baht with
principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7045 SEC sanctions