the specified period by the notification of the Capital Market Board. This case is in the process of inquiry by the inquiry official. SEC Act S.Section 56(1)(2)(4) Criminal Complaint Filed with an

failure to prepare and submit a financial statement for the year 2022 to the SEC Office within the period specified in the notification of the Capital Market Board, resulted from the instruction or the

RICH’s failure to prepare and submit a financial statement for the year 2022 to the SEC Office within the period specified in the notification of the Capital Market Board, resulted from the instruction or

and Section 50 of the Derivatives Act B.E. 2546 (2003) , Clause 5 of the Notification of the Securities and Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and

and Section 50 of the Derivatives Act B.E. 2546 (2003), Clause 5 of the Notification of the Securities and Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and

Exchange Commission) List of Persons Receiving an Allocation With the Value of More Than One Million Baht from the Supporter Quota (Form 35-IPO-1M) 10. Notification of Capital Market Supervisory Board   5

Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee   31/10/2017 01/12/2017 2. Notification of the Securities and Exchange Commission  KorChor. 9/2555 Determination

Exchange Act 2535   116 12/03/1992 16/05/1992 5. Notification of Capital Market Supervisory Board  Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products

   23/11/2011 01/12/2011 3. Notification of Capital Market Supervisory Board  Tor Thor. 27/2559 Rules, Conditions, and Procedures for Securities Underwriting (Codefied)   08/07/2016 01/08/2016 4

Capital Market Supervisory Board  Tor Lor Thor. 8/2557 Rules on Personnel in the Capital Market Business (Codefied)   03/06/2014 01/07/2014 Notification of Capital Market Supervisory Board  TorLorThor