outstanding balance in the derivatives account.  In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business

trading orders when obtaining orders from clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

market personnel for the period of one year. ----------------*Their actions were in violation of Clauses 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555

Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving

digital asset business in accordance with the notification of the SEC. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 2/2023 Dated 24/04/2023

and 13 July 2022, which means Mr. Boon failed to prepare and disclose the reports within the period specified in the notification of the Office of the Securities and Exchange Commission. This case is in

Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, the CL

specified in the notification of the Office of the Securities and Exchange Commission. This case is in the process of inquiry by the inquiry official. SEC Act S.59 Criminal Complaint Filed with an Inquiry