Management?), failed to order or act his duty resulting in Asia Wealth Asset Management violation of section 113 of the Securities and Exchange Act B.E. 2535. Asia Wealth Asset Management failed to comply

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person that is

and submit the reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 in conjunction with 56(1) Settlement Committee Meeting No

KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause

to order or act her duty resulting in Asia Wealth Asset Management violation of section 113 of the Securities and Exchange Act B.E. 2535. Asia Wealth Asset Management failed to comply with the rules

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is Mr

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a

provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system

in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 5/2020