process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S

outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6

Krungthai XSpring Securities Company Limited Between November 14, 2022 and August 9, 2023 Krungthai XSpring Securities Company Limited ("KTX") as a securities underwriter, failed to comply

, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

Yuanta Securities (Thailand) Company Limited Between May 9, 2022 and August 7, 2023 Yuanta Securities (Thailand) Company Limited as a securities underwriter, failed to comply with the rules

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

Citibank N.A. Citibank N.A., a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital

, 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 fund management