Successmore Being Public Company Limited Successmore Being Public Company Limited (“SCM”), failed to comply with the rules, conditions and procedures as specified in the notification of the Capital

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

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 Investment consultant ("IC

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to

Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the

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 arranging and keeping

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by acting or omitting to do any act which is specified in the notification of the SEC

, 2016 and February 29, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to

, 2016 and May 16, 2016 respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The rectified financial statements was later submitted to the

Office on March 22, 2016 and March 23, 2016 respectively. The annual registration statement did not comply with the notification of the Capital Market Supervisory Board. The rectified annual