-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

provided by customers regarding occupation, source of income, or financial status is inconsistent, or does not align with observed behavior or transaction patterns. Examples include transfers of cash or

Company will further inform via the SET system. 2) Right adjustment as a result of dividend payment in the amount of money exceeding 80 percent of net profit after income tax subject by the Company The

Systems System Development -AEON System is 90% owned by AFS -AEON System is 3.3% owned by AEONTS General characteristics of transactions: With reference to the Minutes of the Board of Directors Meeting No.8

ที่ กบร No. Kor Bor Ror. 022/2018 January 31, 2019 President The Stock Exchange of Thailand Re : Hiring a connected party for sales management and system development Dear Sir, Thai Wacoal Public