customers misunderstand. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 39/2024 Dated 13/05/2024

and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

Board. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 67/2024 Dated 27/08/2024

another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2

process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S

specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. SEC Act S.56(1) Settlement Committee Meeting

outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6

, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. SEC Act S.109 Settlement Committee Meeting No. 9

with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116

. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 07/01/2016