UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules

with the notification of the Capital Market Supervisory Board. However, RISLAND prepared and submitted the audited financial statements for the year 2020 on June 28, 2021 which is in breach of the

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

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

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

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

for Q3/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. This case is in the process of inquiry by

statements for Q3/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. This case is in the process of inquiry by

THAI INDUSTRIAL PART Limited THAI INDUSTRIAL PART Limited (“TIP”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office

JTW ASSET Limited JTW ASSET Limited (“JTW”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the period