report (Form 59-2) to the SEC office within the period specified in the notification of SEC. SEC Act S.59 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 38/2025 Dated 25/04/2025

multiple of five percent of total number of voting rights of the business. SEC Act S.246 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 38/2025 Dated 25/04/2025

section 258 to reach or pass a multiple of five percent of total number of voting rights of the business. SEC Act S.246 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 39/2025

retention of the source of securities trading orders. SEC Act S.113 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 42/2025 Dated 25/04/2025

adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

No. 3/2025 Settlement Committee Order No. 5/2025 Dated 25/04/2025

approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 40/2025 Dated 25/04/2025

or the failure to give instruction which is a duty required to be performed SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 41/2025 Dated

, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 3/2025 Settlement Committee Order No

with 57(6) Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 44/2025 Dated 25/04/2025