Mr. Richard Dunston Malpass Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax

receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020

Finnomena Mutual Fund Brokerage Securities Company Limited Between March 23, 2021 and March 15, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and

Finnomena Mutual Fund Brokerage Securities Company Limited Between January 4, 2021 and October 31, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a

applicable to mutual fund management company, but AIA Company Limited failed to comply with the provisions being applicable to mutual fund management company in case of redemption payment process when the

Finnomena Mutual Fund Brokerage Securities Company Limited Between January 18, 2021 and July 4, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities

Finnomena Mutual Fund Brokerage Securities Company Limited Between April 29, 2022 and May 22, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities

Finnomena Mutual Fund Brokerage Securities Company Limited Between March 23, 2021 and July 31, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities

Finnomena Mutual Fund Brokerage Securities Company Limited Between March 25, 2020 and July 13, 2022 Finnomena Mutual Fund Brokerage Securities Company Limited ("Finnomena"), a Securities