such information became public on May 15, 2012. SEC Act S.241 Settlement Committee Meeting No. 4/2015 Settlement Committee Order No. 37/2015 Dated 20/04/2015

Mr. Sermkhun Kunawong Between August 15, 2012 and February 17, 2015, Mr. Sermkhun Kunawong failed to report to the SEC Office the acquisition or disposal of CMO Public Company Limited (CMO) shares

Mr. Sermkhun Kunawong Between August 15, 2012 and September 21, 2012, Mr. Sermkhun Kunawong failed to comply with rules specified by the Securities and Exchange Commission. In this regard, Mr

financial statements for Q1/2015 to the Stock Exchange of Thailand and the SEC Office within May 15, 2015. However, the financial statements were later submitted to the SET and the SEC Office on July 14, 2015

Mr. Bordin Sangarayakul Between February 2, 2012 and May 15, 2012, Mr. Bordin Sangarayakul colluded or agreed with other principals to trade shares of Pylon Public Company Limited (“PYLON”) in

Mr. Noparat Jongyin Between February 2, 2012 and May 15, 2012, Mr. Noparat Jongyin colluded or agreed with other principals to trade shares of Pylon Public Company Limited (“PYLON”) in concealment to

to the Stock Exchange of Thailand and the SEC Office within March 2, 2015. However, the financial statements were later submitted to the SET and the SEC Office on October 14, 2015 and October 15, 2015

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 10/11/2014 - 14/11/2014

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Foreign Investment Fund : FIF | Offering Date : 22/09/2014 - 26/09/2014

Criminal Complaint Filed with an Inquiry Official Dated 15/10/2015