Securities and Exchange Act B.E. 2535 (1992) (SEA), in conjunction with Section 83 of the Penal Code, subject to the penalties under Section 296, Section 296/1 and Section 296/2 and civil sanctions under

2. Mr. Thanathorn ChuchatpongFollowing order of person who is not an account owner or authorized by the client causing damage to such client

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Mr. Narongwet Weerakeatkumjorn2. Mr. Somporn Khunrang Making decisions to buy or sell securities for clients without clients? order Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer d...

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Mr. Sakda Sangkul Managing client?s account and making decision to buy or sell securities for client without client?s order Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated Dec...

297 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit

under Section 296 and Section 296/2 of the SEA.The Civil Sanction Committee has decided to impose civil sanctions* on the three offenders above through the imposition of civil penalty, compensation at

Sanction Committee has decided to impose civil sanctions** on the three offenders through the imposition of civil penalty, compensation at an equal amount to the benefit received or should have been received

2. Mrs. Jirapa Titachotinimit (Former name is Miss Jirapa Ingpongpun.) Engaging in providing rebates to clients, which are not deemed as benefits customary to services rendered in the normal course of securities business, thus violating the Regulations of the Stock Exchange of Thailand Re: Rules and Procedures for Charging Brokerage or Agent?s Fees for the Buying or Selling of Listed Securities and Members? Good Corporate Governance

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client Notification No. SorThor. 67/2543 Re: Registration of Marketing Offic...

Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Miss Thitiyaporn Sumatar Making decisions to buy or sell securities for clients Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, amended by Notification No....