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without a license. As a result, DA business operators are prohibited from depositing their clients' assets with this company. In addition, the SEC has previously submitted information about unlicensed
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
SPRC disclosed information via the Stock Exchange of Thailand Information System during 21-26 February 2020 regarding the business email compromise that occurred in late 2019, which resulted in
SEC Secretary-General Ruenvadee Suwanmongkol stated on 17 September 2019 that SEC had a meeting with ASCO and the senior executives of every securities company and derivative contract business
consideration of the application. While the Ministry of Finance is considering the material change, the company may continue business operation by virtue of the Transitional Provisions of the Emergency Degree on