for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.283 paragraph 1

period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in

to be performed. Therefore, Mr. Amorn is liable in the case where EA offered for sale newly issued securities in the category of a bill of exchange without obtaining approval from the Office of the

operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding

failing to have a sufficient and effective system for executing securities transactions for the mutual fund, resulted of an act or failure to act which is a dulty required to be performed. SEC Act S

duties required to be performed. SEC Act S.300 in conjunction with 35 Settlement Committee Meeting No. 4/2026 Settlement Committee Order No. 63/2026 Dated 03/04/2026

accordance with duties required to be performed. This case is in the process of inquiry by the inquiry official. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 13/03/2025

order or act in accordance with duties required to be performed. This case is in the process of inquiry by the inquiry official. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 13

prescribed by the notification of Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. This case is in the process of inquiry by the inquiry

Thailand within the period specified in the notification of the Capital Market Board, due to his failure to order or act in accordance with duties required to be performed. This case is in the process of