2022 through the transmission system as prescribed by the Stock Exchange of Thailand. Later, the rectified was filed on August 15, 2023 SEC Act S.56(2) Settlement Committee Meeting No. 4/2025

report (Form 56-1 One Report) for the year 2022 through the transmission system as prescribed by the Stock Exchange of Thailand. Later, the rectified was filed on September 9, 2024. SEC Act S.56(3)(4

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56

the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and