Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003

SET. 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 Dated 21/09/2017

289. This case is in the process of inquiry by the inquiry official. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 02/03/2016

Court sentenced the accused to pay a total fine of Baht 514,400. Since the accused pled guilty, the Court reduced the fines by half, resulting in a fine of Baht 257,200 and a further fine of Baht 200 each

reduced the fines by half, resulting in a fine of Baht 257,200 and a further fine of Baht 200 each day starting from the next day of prosecution date (February 28, 2018) until the company so complies

a criminal complaint SEC Act S.281/2 paragraph 2 in conjunction with 89/7, 307, 308, 311, 312, and 313 Criminal Complaint Filed with an Inquiry Official Dated 16/10/2017

Mr. Wichai Thavornwattanayong Mr.Wichai, in his role as Chairman of the Board of Directors, called for shareholders’ meetings to seek the shareholders’ resolution for election of new directors to

limitations ran out. SEC Act S.56(1) in conjunction with 199 Criminal Complaint Filed with an Inquiry Official Dated 30/11/2017

prepare the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification

statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. On July 2, 2020,The Criminal Court