, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market

Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in

disclose all reports (Form 59-2) on changes in securities holding of his spouse to the SEC Office within the period specified in the notification. He later filed the report (Form 59-2) to the SEC Office

notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020

selection of debt instruments before investing in the debt instruments. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 10/2020 Dated 13/03/2020

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

derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement

KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the

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