submit the reviewed financial statements for Q3/2011 to the SEC and the SET within the specified period. SEC Act S.56(1) in conjunction with 199 Criminal Complaint Filed with an Inquiry Official

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

S.315 in conjunction with 311 Criminal Complaint Filed with an Inquiry Official Dated 15/02/2013

public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representative failed and the statute of limitations ran out. SEC Act S.199 in conjunction with 56(3

and the SET within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.199 in conjunction with 56(1) Criminal Complaint Filed with an Inquiry Official

inquiry official. SEC Act S.199 in conjunction with 56(1) Criminal Complaint Filed with an Inquiry Official Dated 23/01/2017

conjunction with 199 Criminal Complaint Filed with an Inquiry Official Dated 28/02/2017

conjunction with 199 Criminal Complaint Filed with an Inquiry Official Dated 12/01/2018

securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 1/2018 Settlement Committee Order

., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No