. SEC Act S.59 Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 29/2020 Dated 18/11/2020

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

. However, Krungthai-axa reported the appointment of such position on May 7, 2020. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 15/2020 Dated 20/05/2020

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

and submit the reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.56(1) Settlement Committee Meeting No. 6/2020 Settlement

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