(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work

SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the

systems of work related to the program trading in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.113

Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No WORK KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED

Exchange Commission of Cambodia, and executives from the Cambodian Stock Exchange and securities companies during their visit to study the scope of work related to depository receipt (DR) and share views

transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period. 

February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and work systems, causing the company to fail to operate its business in compliance with the governing

perform work related to business operations in the year 2022 within the period specified in the notification of the SEC, that is December 31, 2022. DAB Act S.30 Settlement Committee Meeting No. 4/2023

for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system