notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No

considered that the transactions entailed the best interest for clients and failed to provide measures for preventing conflict of interests. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2

. However, Krungthai-axa reported the discontinuation of such position on May 8, 2020. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 15/2020 Dated 20/05/2020

and truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09

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

private company bond. SEC Act S.98(3)? Settlement Committee Meeting No. 1/2020 Settlement Committee Order No. 2/2020 Dated 23/01/2020

before investing in the debt instruments. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 11/2020 Dated 13/03/2020

-axa reported the appointment of such position on February 14, 2020. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 15/2020 Dated 20/05/2020

sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020

business on June 12, 2019. SEC Act S.250 Settlement Committee Meeting No. 1/2020 Settlement Committee Order No. 1/2020 Dated 23/01/2020