ASIA WEALTH SECURITIES COMPANY LIMITED This case is in the process of inquiry by the Criminal Court. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 06/03/2024

Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC

Asia Wealth Securities Public Company Limited Between March 26, 2021 and February 11, 2022, Asia Wealth Securities Public Company Limited, as a securities and derivatives broker, failed to maintain

establishment of a new subsidiary company (Life and Non-Life insurance broker) to support the Company’s Wealth Management Business, be approved. The Company will inform the SET of the details of new subsidiary

require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was

Ms. Sa-ngiam Pimkotr Ms. Sa-ngiam Pimkotr failed to comply with the competent officer's order to testify. The Pathumwan District Court sentenced the accused to three-month imprisonment and a

Ms. Somboon Pangphet Ms. Somboon Pangphet failed to comply with the competent officer's order to testify. The Pathumwan District Court sentenced the accused to three-month imprisonment and a

Asia Wealth Securities Public Company Limited Between June 4, 2020 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, engaged in an act which may cause damage or

Wealth Creation International Advisory Securities Company Limited Between June 30, 2022 and August 30, 2022 Wealth Creation International Advisory Securities Company Limited ("WCI"), an

Wealth Creation International Advisory Securities Company Limited Wealth Creation International Advisory Securities Company Limited ("WCI"), an investment advisory company, prepared and