Mr. Eakarat Apiwattanaporn Between 19 February, 2016 to 4 March, 2016, Mr. Eakarat Apiwattanaporn who is the foreign fund manager of UOB Asset Management (Thailand) Co., Ltd. (“UOB”) bought UOB

since the date of the entry of the plaint (26 December 2018) until the payment is made in full; a suspension of trading in securities on the Stock Exchange or the over-the-counter center, or derivatives

from committing the offence since the date of the entry of the plaint until the defendant fully pays the said amount of money to the plaintiff to be collected as public revenue and ordering the

CL Fund Management Limited Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia

jointly pay a reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3

reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3 September 2020) until the

reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3 September 2020) until 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

CL Fund Management Limited Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia

Renaissance Fund Management LTD. SEC Act S.106 Criminal Complaint Filed with an Inquiry Official Dated 21/06/2024