UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 10/08/2006 - 18/08/2006

EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 07/06/2023 - 14/06/2023

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 03/10/2006 - 11/10/2006

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 13/11/2006 - 21/11/2006

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 22/11/2006 - 01/12/2006

EASTSPRING ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 26/04/2024 - 02/05/2024

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 17/11/2005 - 30/11/2005

submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement

auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has

failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are