, name and contact address of clients in Thailand, records of their meeting with clients, lists of tradable securities, and records of investment fees charged on clients. SEC also finds that Broadgate

Reporting Person : - | Type of securities : - | Date of reporting obligation : 13/10/2016

Reporting Person : - | Type of securities : - | Date of reporting obligation : 05/02/2018

Reporting Person : - | Type of securities : - | Date of reporting obligation : 13/02/2019

Reporting Person : - | Type of securities : - | Date of reporting obligation : 15/05/2002

Reporting Person : - | Type of securities : - | Date of reporting obligation : 15/01/2004

Reporting Person : - | Type of securities : - | Date of reporting obligation : 11/01/2005

Reporting Person : - | Type of securities : - | Date of reporting obligation : 17/01/2006

Reporting Person : - | Type of securities : - | Date of reporting obligation : 22/01/2007