PHILLIP Securities (Thailand) Public Company Limited Between Feburary 23, 2021 and May 2, 2024, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, has applied

PHILLIP Securities (Thailand) Public Company Limited Between August 27, 2019 and December 26, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, the

Act B.E.2546 (2003). In addition,the operation constituted public frauds and a violation of Section 343 of the Penal Code. DV Act S.16 and Section 343 of the Penal Code in conjunction with Section

of the Penal Code. This case is under consideration of the public prosecutor. DV Act S.343 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009

WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code

of Section 343 of the Penal Code. This case is under consideration of the public prosecutor. DV Act S.343 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009

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

Director, Manager or Person being responsible for keeping the private key Since April 2020, director, manager or person being responsible for keeping the private key of Bitcoin Company Limited ("

Section 343 and 83 of the Penal Code. The company was dissolved. Therefore, the public prosecutor could not further the case. DV Act S.16 and Section 343 of the Penal Code in conjunction with Section

Penal Code. On July 31, 2014, the Bangkok South Criminal Court dismissed the case. DV Act S.16 and Section 343 of the Penal Code in conjunction with Section 83 of the Penal Code Criminal Complaint