Mr. Supakorn Soontornkit Between March 20, 2017 and September 18, 2018; Mr. Supakorn Soontornkit, chief executive officer of Asia Wealth Asset Management Company Limited (?Asia Wealth Asset

Mrs. Apirati Chairat Between September 7, 2017 and December 1, 2018; Mrs. Apirati Chairat, managing directer of Asia Wealth Asset Management Company Limited (?Asia Wealth Asset Management?), failed

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

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

should increase or not. • The limitation of security demands control through turnover list ratio needs to be proved. The relationship between shareholder wealth and liquidity index in Thailand has not been

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

Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, there is not documentary evidence of the fund manager’s

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