and submit results of the structured debenture sale report to Securities and Exchange Commission Office (SEC) within the period as specified by the SEC which are resulted from the instruction or the

KGI Securities (Thailand) Public Company Limited KGI Securities (Thailand) Public Company Limited (“KGI”) failed to prepare and submit 4 results of the structured debenture sale report to SEC within

prepare and submit 4 results of the structured debenture sale report within the period as specified by the notification of the SEC resulted from the instruction or the failure to give instruction which is

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

Order No. 4/2020 Dated 23/01/2020

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

/2020 Settlement Committee Order No. 16/2020 Dated 20/05/2020