Richy Place 2002 Public Company Limited Richy Place 2002 Public Company Limited ("RICHY"), a securities issuer, prepared and submitted the key financial ratio for the year 2023 through the

Ms. Suttiporn Hinrit Ms. Suttiporn Hinrit, Chief Financial Officer, who is responsible for the operation of Richy Place 2002 Public Company Limited ("RICHY"), shall be liable for RICHY’s

BBL Asset Management Company Limited Between January 27, 2023 and October 28, 2024 BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules

Maybank Securities (Thailand) Public Company Limited Between August 30, 2021 and October 2, 2024 Maybank Securities (Thailand) Public Company Limited ("MST") as a securities underwriter

Yuanta Securities (Thailand) Company Limited Between May 9, 2022 and August 7, 2023 Yuanta Securities (Thailand) Company Limited as a securities underwriter, failed to comply with the rules

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106

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

Mr. Peerapong Jirasevijinda Mr Peerapong Jirasevijinda, a former Chief Executive Officer of BBL Asset Management Company Limited ("BBL") and the director of the Investment Committee, who

Mr. Santi Thananiran Mr. Santi Thananiran, a former Chief Investment Officer and Chairman of the Investment Committee of BBL Asset Management Company Limited ("BBL"), who is responsible for

Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders