Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying

LIBERATOR SECURITIES COMPANY LIMITED, Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules

Kasikornbank Public Company Limited Between August 30, 2021 and July 18, 2023 Kasikornbank Public Company Limited (“KBANK”) as a securities underwriter, failed to comply with the rules, conditions

technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory

another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2

process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S

service provider under this Act, KBank must comply with its provisions. We are fully prepared to submit applications for licensing and registration with the Bank of Thailand and to issue operational

Business Impact Analysis (BIA); (4) the recovery time objective; (5) the recovery point objective; (6) details of backup systems and alternative site which comply with the business continuity policy and

in Host Jurisdiction. 10 Example 4 (2) The Recognised Representative is required to comply with rules, regulations and any other applicable law that may govern the activities specified in the Framework

Funds in the host jurisdiction shall comply with the applicable Domestic Law in the host jurisdiction. 4 5. Within the framework of this MoU, the Authorities will provide each other with the fullest