that an investee company is found to be lacking sustainability qualifications according to the rules governing Thailand ESG Funds, such investee company may remain in the Thailand ESG Fund portfolios as

from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. Thus, the SEC revoked the approval as securities investment

the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case

. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These

any risks arising from an appointment of any persons lacking qualifications or possessing prohibited characteristics.

owners, in order to gain indirect benefits for himself. His actions are deemed as failure to honestly and fairly perform his duty in providing financial services, lacking of professional accountability or

business sectors while maintaining the protection of investors from any risks arising from the appointment of any person lacking qualifications or possessing prohibited characteristics, and (2) harmonize the

to lacking of working capital and also having a lot of debts, the money from the Transaction will help the Company’s financial status better. 7. Plan of using the money After the Company receiving the

characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic

governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished